Description
Topics to discuss:
SEC and FINRA Compliance and Examinations
• Regulation Best Interest exams
• Current sweeps and other targeted exams
• Likely 2022 exam priorities
• Key compliance issues
Recent SEC and FINRA Enforcement Developments
• SEC and FINRA enforcement efforts directed at investment advisers, broker-dealers, funds and associated personnel
• A review of findings and holdings of recently settled and litigated actions, as well as regulatory priorities or initiatives that may signal future enforcement investigations or proceedings
• Cases discussed will involve alleged conflicts of interest, disclosure failures, sales practice violations, share class fee differentials and revenue sharing, and compliance or supervision deficiencies.