Chicago partner Jim Lundy served as a panelist for the National Society of Compliance Professionals’ (NSCP) Canadian Compliance Roundtable on January 29, 2018.
Jim discussed the SEC Enforcement Division 2017 Annual Report and the SEC and FINRA 2018 annual examination priorities, as well as the potential impacts of the recent SEC Commissioner appointments. Other subjects included:
- Sample size testing methodology, practices for senior investors.
- The General Data Protection Regulation.
- New ADV filing requirements.
- Best practices for marketing of hypothetical performance for institutional pension plans.
- The memorandum of understanding between the Investment Industry Regulatory Organization of Canada and FINRA.
NSCP’s Canadian Compliance Roundtable meeting is intended for compliance professionals whose firms are registered in both Canada and the United States. Facilitated by leading industry practitioners, the roundtable provides an in-depth discussion on critically important U.S. regulations and practical applications to assist participants with their compliance programs.