Highlights of 2016, A Look Forward to 2017

Join Ascendant to review new IA regulatory trends across the DOL Fiduciary Rule, the November Election, and Dodd-Frank regulation. Last December, Ascendant ComplianceCasts predicted the “pendulum swings some” in 2016. The presentation will cover up-to-date regulatory information and issue summaries for your Annual Compliance Program Reviews. Maybe more predictions on how much the pendulum swings.

Learning objectives:

  • Implementation of Form ADV Amendments in late 2017
  • DOL and SEC Fiduciary Rules under the Trump Administration
  • SEC Data Analytics Re-enforced
  • Private Fund Regulation Trending
  • New Commissioner in Early 2017
  • SEC Guidance on IA Regulatory Matters

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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