Category Archives: Regulators

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Policy, Written Supervisory Procedures (WSPs), Attestation and Training under Regulation Best Interest with GRACE

The SEC’s latest regulation, the Regulation Best Interest is now in effect with firms having to bring their operations into compliance from June 30, 2020. SEC examination notices are now going out – there is an expectation that firms have updated their policies, procedures, and made their staff aware of the obligations regarding conflict disclosures, […]...

Published On - July 14, 2020

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Regulators
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Frequently Asked Questions on Regulation Best Interest

The staff of the Division of Trading and Markets have prepared the following responses to questions about Regulation Best Interest and expect to update from time to time our responses to additional questions. These responses represent the views of the staff of the Division of Trading and Markets. They are not a rule, regulation, or […]...

Published On - May 5, 2020

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RegulatorsUncategorized
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SEC’s Office of Compliance and Examinations Risk Alert on Exams related to Form CRS dated April 7th 2020

The Office of Compliance Inspections and Examinations (“OCIE”) isissuing this Risk Alert to provide SEC-registered broker-dealers andinvestment advisers (“firms”) with information about the scope and contentof initial examinations after the compliance date for Form CRS. Form CRS and its related rules (“Form CRS”) require firms to deliver to retail investors a brief customer or client […]...

Published On - May 3, 2020

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