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New FINRA Guidance Suggests Increased Scrutiny of Member Firms' Relationships with Third-Party Vendors | Troutman Pepper

New FINRA Guidance Suggests Increased Scrutiny of Member Firms' Relationships with Third-Party Vendors | Troutman Pepper
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SEC Enforcement Actions Highlight Regulatory Focus On Form CRS And Regulation Best Interest - Corporate/Commercial Law

The importance of investment advisers and broker-dealers to comply with obligations under Regulation Best Interest and Form CRS was highlighted by the recent filing of 27 . ....

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Form CRS and Regulation Best Interest Enforcement by SEC

Form CRS and Regulation Best Interest Enforcement by SEC
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Investment Management Update - June 2021 - Technology

The Office of the Chief Accountant of the SEC's Division of Investment Management periodically issues "Dear Chief Financial Officer" letters to help registered investment companies. ....

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SEC and FINRA Emphasize Cybersecurity, AML, and Reg BI as Key Areas of Focus for Broker-Dealer Examinations in 2021 | King & Spalding

INTRODUCTION
The U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) have each published their annual examination priorities for 2021, signaling areas of scrutiny that broker-dealers should expect in upcoming regulatory exams. Both sets of priorities offer a road map of the issues of concern to regulators and provide guidance on what market participants – particularly broker-dealers – can do to anticipate those concerns and mitigate regulatory risks. Given the shared focus of both the SEC and FINRA in certain areas, broker-dealers should pay close attention to aspects of their businesses where these shared priorities overlap. This alert explores several of these areas of mutual concern, namely (i) information protection and cyber security, (ii) anti-money laundering policies, and (iii) sales practices, especially as they relate to Regulation BI obligations. We conclude by offering some practical takeaways to help broker-dealers ....

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