Understanding the Regulatory Impact of COVID-19

The COVID-19 pandemic has brought unprecedented circumstances to the financial services industry and the world around us.

Amy Lynch, CEO of FrontLine Compliance, joined the Human Capital Podcast on March 20 to provide insight on the regulatory impact of the pandemic, emergency relief measures and recent guidance  including Form ADV extensions, Fund Board meetings, Business Continuity Plans, and virtual exams.

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The Four Core Components of Regulation Best Interest

Will you be ready to comply with Regulation Best Interest on June 30, 2020? The new rules and interpretations outline requirements instructing broker-dealers and investment advisors to not put their own financial interests ahead of the best interests of retail customers when making recommendations and to address conflicts of interest.

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An Overview of Regulation Best Interest

On June 5, 2019, the SEC announced new rules and interpretations clarifying required standards of conduct for broker-dealers and investment advisers when advising retail customers. Firms must be ready to comply with Regulation Best Interest and Form CRS by June 30, 2020.

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DOJ's New Guidance Centers on Three Important Questions

The DOJ has served notice it will require clear answers to these three questions during future misconduct investigations. Your answers must demonstrate your organizations compliance program is having a definite impact. In other words, the DOJ expects results. 

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2018 Compliance Roundup - The Nice List

 

“He’s making a list, checking it twice. . .”

We believe it is a great time of year to recognize fellow professionals for their outstanding contributions to the field of compliance and risk in 2018.

Yesterday, we looked at some of the biggest fines of the year, or "The Naughty List". Today we look at some of the more positive events of the year, "The Nice List".

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