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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 SEC Fines Firm $300,000 for ADV Deficiencies

The Securities and Exchange Commission (SEC) has fined a registered investment advisor that acts as a subadvisor to clients in various wrap fee programs $300,000. The SEC felt the firm, RiverFront Investment Group, violated Sections 207 and 204 of the Investment Advisers Act of 1940 and Rule 204-1(a) by making misleading disclosures in its Forms ADV and failing to prepare its customers for additional costs beyond the “wrap fees”.

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