Supplemental Documents/Handouts:
Recent SEC Risk Alerts- Providing Advance Information Regarding Inspections for Compliance with Regulation Best Interest and Form CRS (Apr. 7, 2020)
- COVID-19 Quick Reference Guide for Investors and Market Participants (Apr. 8, 2020)
- Division of Investment Management – Coronavirus (COVID-19) Response FAQs (Apr. 14, 2020)
- Regulatory Notice 20-08: Pandemic – Related Business Continuity Planning, Guidance and Regulatory Relief (Mar. 9, 2020)
- Fraud and Coronavirus (COVID-19) (Mar. 26, 2020)
- COVID-19/Coronavirus/FINRA.org
Core Compliance Risk Management Update: "Performing Due Diligence on Service Providers is Essential During COVID-19," by Kurt Nuñez (Sr. Compliance Consultant) and Tina Mitchell (Managing Director, Consultation Services), April 2020
Jacko Law Group, PC's Risk Management Tip: "Immediate Impacts of COVID-19 on Investment Adviser Compliance Programs," by Michelle L. Jacko, Esq. (Managing Partner and CEO of the Jacko Law Group, PC and Core Compliance), March 2020
Handout: Risk Management Tips To Consider For Your Business Continuity Plan (BCP)
PowerPoint Slide Handout: "How Have You Responded: Compliance and Firm Risks Associated with COVID-19"
