Highlights of 2016, A Look Forward to 2017
Join Ascendant to review new IA regulatory trends across the DOL Fiduciary Rule, the November Election, and Dodd-Frank regulation. Last December, Ascendant ComplianceCasts predicted the “pendulum swings some” in 2016. The presentation will cover up-to-date regulatory information and issue summaries for your Annual Compliance Program Reviews. Maybe more predictions on how much the pendulum swings.
- 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 Commissioner in Early 2017
- SEC Guidance on IA Regulatory Matters
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