Effective training for DOL Fiduciary Rule not one-size-fits-all, cautions Amy Lynch (InvestmentNews)
FrontLine Compliance
FrontLine Showcases its Industry-Leading Consulting and Education
FrontLine Compliance
We will be exhibiting at IA Watch’s Annual Fall Conference, “Commitment to Compliance,” Sept. 26th in Boston. Highlights of our participation include: Exhibit Booth with details on our new, and soon to be released, exclusive White Papers Display and handouts on our full-range of services and support programs Information on our upcoming webinars and other…
SEC to scrutinize RIAs employing reps with disciplinary histories; reveals new emphasis on regulatory resources, cites Amy Lynch (InvestmentNews)
FrontLine Compliance
ComplianceAlert
New SEC Requirements for Form ADV and Recordkeeping
FrontLine Compliance
The SEC kicked off September by finalizing its Form ADV and adviser recordkeeping changes. IA Release No. IA-4509 was issued on September 1, 2016 with an effective date of October 31, 2016. Compliance with the new requirements will be required for all SEC registered advisers as of October 1, 2017. The Form ADV changes add…