January 12, 2017
ComplianceCast Predicts 2017 Compliance Developments
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
To request a download of the episode, click here.