In this episode of Human Capital, we talk with Amy Lynch, president and founder of FrontLine Compliance, on the regulatory relief put in place by the Securities and Exchange Commission as well as the Financial Industry Regulatory Authority in light of the coronavirus pandemic.
With work-at-home policies in place, advisory firms, broker-dealers and fund boards are being given some leeway when it comes to Form ADV filings and fund board meetings, among other areas. Compliance dates may get pushed off – namely the June 30 enforcement date for the Securities and Exchange Commission’s Regulation Best Interest.
Listen in as Lynch — a former SEC staff accountant and special investigator at FINRA — clarifies some important details about the regulatory relief, how regulatory exams are moving ahead — but changing — and why firms can likely expect new, updated rules on business continuity planning.
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