NRS ComplianceGuardian™ is a cost-effective solution designed to foster compliance confidence in rapidly-changing environments. Keep your firm ahead of the evolving landscape of regulatory requirements. with quarterly updates.
Here is a snapshot of policy and procedure updates that we released for the second quarter:
- Information on the new SEC Advertising / Cash Solicitation Rules (206(4)-1 and 206(4)-3) which creates a single rule that replaces previous advertising and cash solicitation rules
- The latest ERISA Prohibited Transaction Exemption ((PTE) 2020-02) Requirements and how this could affect your firm
- Environmental, Social and Governance Investing best practices; centered on information from the SEC’s latest Risk Alert encompassing recent examinations
Guidance on the New FINRA Rule 3241, which focuses on Positions of Trust for, or on behalf of a customer
- Updates focusing on the New Anti-Money Laundering Act of 2020 covering but not limited to, new Bank Secrecy Act Violations and expanded whistleblower rewards and protections
…and much more
If you are not a ComplianceGuardian™ subscriber and want to find out more, contact us to learn more, or sign up for one of our demos.