While the Investment Advisers Act of 1940 includes most of the rules and regulations an advisory firm needs to abide by to be compliant, other regulations affect advisory firms in significant ways and must be considered.

A central and necessary component of a sound compliance program is testing the firm’s actual compliance with its written policies and procedures.

This session will provide you with a virtual, real-time briefing on regulatory reform and other recent and pending regulatory developments, the possible implications for your firm, and the new challenges and best practices that should be on your radar screen. Topics to be addressed include:

The use of cloud computing has grown in the adviser and broker-dealer business model.

In the past several years regulatory scrutiny of data protection has expanded from basic issues of privacy, to requirements for dealing with identity theft, to detailed assessments of firm-wide cybersecurity.

Ideally, your firm’s advertisements, contracts, disclosures and supervisory procedures should perfectly mesh.

The SEC’s anti-fraud rules pursuant to Section 206 of the Investment Advisers Act of 1940 lay the regulatory foundation of the adviser’s relationship with its clients.

In 2016, FinCEN issued a Final Rule for Customer Due Diligence (CDD) under the Bank Secrecy Act that impacted not just banks but other financial institutions.

Investment adviser advertising continues to be one of the top problem areas identified by the SEC.