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NEWSLETTER: The first quarter of the year is usually the busiest for those of us in the regulatory world, from updating annual required filings to digesting and acting on the contents of the year’s exam priorities announcements.
If your fiscal year ended in December, you should be working on your Form ADV Annual Update, due March 31st.
FINRA recently issued their Annual Regulatory and Exam Priorities Letter for 2022 which we cover in our article this month. We are hosting a webinar on March 14th to look at the letter in more detail. You can register for free below.
In the meantime, the SEC is likely to issue their own Exam Priorities Letter within the next two weeks and we look forward to sharing our thoughts and advice on what it might mean for you in due course.
As always, please get in touch with any questions, and let us know how we can help your team.
All the best,
Joao Chagas
Bovill Newgate US
