Industry Perspectives

Coronavirus Compliance: What Areas Should You Focus On Now

Coronavirus Compliance: What Areas Should You Focus On Now

It is said that those who forget the past are condemned to repeat it. Perhaps “condemned” is not the best word choice, given the current circumstances, but past events can and should inform the present. Case in point: the role of compliance during turbulent times.

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SEC: No Extension for Reg BI, Form CRS Compliance

SEC: No Extension for Reg BI, Form CRS Compliance

SEC Chairman Jay Clayton announced that the Commission will not extend the compliance date for Reg BI and the filing date for Form CRS beyond June 30, 2020 despite the recent social, economic and market turmoil caused by the COVID-19 pandemic.

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