As 2017 begins to take shape, Ascendant reviews new investment adviser regulatory and compliance trends across the DOL Fiduciary Rule, the November Election, and Dodd-Frank regulation.
Last December, Ascendant ComplianceCasts predicted the “pendulum swings some” in 2016. This presentation covers up-to-date regulatory information and issue summaries for your Annual Compliance Program Reviews, and then adds a handful of predictions on how much the pendulum swings in 2017, under a new presidential administration.
This ComplianceCast covers:
- 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 SEC Commissioners in Early 2017
- SEC Guidance on IA Regulatory Matters
- Predictions for the Next 12 Months
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Written by: Ascendant Compliance Management