Upcoming ComplianceCasts™

Compliance Considerations for Dual Registrants

Broadcast Date: Tuesday, Oct 16 at 11:00am ET

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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Recent ComplianceCasts™

Recent ComplianceCast™ Minutes


ComplianceCasts™ are the property of Ascendant Compliance Management, Inc. (“Ascendant”) and/or may not be reproduced or redistributed in any form without the express written consent of Ascendant. ComplianceCasts™ are provided for educational purposes only, and are not intended to be and cannot be construed to be financial or legal advice. Ascendant is not a law firm and does not provide legal advice. Adherence to any recommendation does not imply compliance with any applicable law, regulation, or guidance. All facts and matters stated herein should be independently verified.

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