The SEC’s Office of Compliance Inspections and Examinations released its 2020 Examinations Priorities, and while many of the topics were the same as in past years, the new list includes checking into firms’ compliance with its recently adopted Standards of Conduct, including Regulation Best Interest, Form CRS, and interpretation of an adviser’s fiduciary duty. Cybersecurity, digital assets, conflicts of interest and compliance programs also made the list.
January 13, 2020
Sutherland law firm partner Brian Rubin shares the most urgent cybersecurity steps for investment advisers.
Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.
Get solutions for the top marketing challenges that advisers face from ACA Compliance Group managing director Kimberly Daly
ACA Aponix Director Pascal Busnel on the most common cybersecurity myths that may cause firms to spend resources where they may not be needed.
Find out the difference an ethics, rather than a compliance, perspective makes at an advisory firm from former Ethics and Compliance Officer Association COO Timothy Mazur.
Find out from Blue Edge Capital CCO Margaret Fretz what chief compliance officers may be liable for and best practices to make sure you are protected.
Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.