Special Episode with the Deputy Commissioner, Securities Division of the Vermont Department of Financial Regulation

Update: 2021-11-22

Description

In this special episode, CSS’s Director of Retail Wealth Manager Services, Korrine Kohm and William R. Carrigan, Deputy Commissioner, Securities Division of the Vermont Department of Financial Regulation discuss the latest news for registered investment advisers, including what will be required in 2022 surrounding continuing education requirements, the implementation of the new Marketing Rule and what’s next for Form CRS.

Comments

In Channel

Investment Monitoring Rewind & 2022 Preview

2021-12-2723:12

Evolutionary Changes in Regulatory Compliance in 2022

2021-12-2007:45

Trends in Transaction Reporting in 2022

2021-12-1305:36

The Perfect Storm – PRIIPs and SFDR in 2022

2021-12-0607:27

What’s Next for Cybersecurity in 2022?

2021-11-2909:50

Special Episode with the Deputy Commissioner, Securities Division of the Vermont Department of Financial Regulation

2021-11-2231:19

PRIIPs Delay, But Not Implementation Delays

2021-11-1508:06

CCOs & ESG – Preparing Now for What’s Next

2021-11-0807:41

Cybersecurity Training, Talent and Diversity

2021-11-0123:40

An ESG Fireside Chat with KPMG’s Kay Swinburne

2021-10-2514:08

Digital Assets: Trading & Compliance for Cryptocurrency

2021-10-1821:11

Shareholding Disclosure Rules for Managed Holdings

2021-10-1117:05

Cybersecurity Awareness Month – Reducing Cyber Incidents Through Vendor Due Diligence

2021-10-0410:41

Regulator Insights & SEC Exam Priorities

2021-09-2722:10

The Latest News & Analysis on the PRIIPs RTS

2021-09-2010:33

Mythbusting ESG & FAQs Part 2

2021-09-1311:36

Mythbusting ESG & FAQs Part 1

2021-09-0612:16

SFDR Level 2 RTS Delays and Latest Developments

2021-08-3009:17

The Mood of Compliance

2021-08-2315:43

The RIA Wild West of Going Independent

2021-08-1614:09

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Special Episode with the Deputy Commissioner, Securities Division of the Vermont Department of Financial Regulation

CSS (Compliance Solutions Strategies)

#box-pro-ellipsis-176596462777116{-webkit-line-clamp:2;}Special Episode with the Deputy Commissioner, Securities Division of the Vermont Department of Financial Regulation

Special Episode with the Deputy Commissioner, Securities Division of the Vermont Department of Financial Regulation

CSS (Compliance Solutions Strategies)

Special Episode with the Deputy Commissioner, Securities Division of the Vermont Department of Financial Regulation