Compliance Considerations for Dual Registrants

In this CCast, we’ll cover the following:

  • An examination of the current regulatory environment, including an overview of the SEC’s best interest rule proposal.
  • Consider FINRA’s approach to Risk Management and how this parallels the SEC approach for investment advisers
  • Identify cross over information, overlaps and new issues for Dual Registrants (such as insider trading, ADV Part 2A, Part 2B Supplements, recordkeeping, surveillance, supervision, email and social media, risk analysis, annual reviews and more).
  • Improve your awareness and understanding of the many rules and compliance concerns that impact dual registrants, and, importantly, how they can impact your business.

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