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NSCP Members have just wrapped up another monthly touchpoint with our Broker-Dealer and Investment Advisor Forums regarding:
- FINRA Regulatory Notice 19-35: BD and IA renewals for 2020
- Cybersecurity alert: Cloud-based email account takeovers
- SEC issues FAQs regarding disclosure of certain financial conflicts related to Investment Adviser compensation
Beyond that, our members are discussing these topics:
- Liquidating mutual fund “A” shares and charging a commission
- Considerations for potential Canadian clients
- Finger printing for employees of an affiliated RIA
NSCP has also launched two new forums in the Member Center: the Small Firm Forum and the Emerging Leaders Compliance Group.
It’s amazing what we can accomplish when we crowdsource the collective expertise from peers. Join the conversation. Join us.