Schwab Advisor Solutions Session – Be in the Know: Compliance Hot Topics and Essentials for Preparing for Year-End

Welcome to the Supplemental Hub

You’ve attended the session, but now you want more information…

Thank you for attending the Schwab Advisor Solutions Session, “Be in the Know: Compliance Hot Topics and Essentials for Preparing for Year-End,” on September 27, 2022 presented by Michelle L. Jacko, Esq. The discussion shouldn’t stop there. We’ve provided additional materials to help attendees navigate the discussion back with their own organizations.

The Supplemental Hub was designed specifically from the presentation and is catered to help those understand, strategize, and maneuver the SEC’s compliance expectations and hot topics.

If you or your team need additional assistance, contact our team today.

Supplemental Documents

• Presentation Slides – Be in the Know – Compliance Hot Topics and Essentials for Preparing for Year-End

Articles

• Securities and Exchange Commission – Final Rule – Investment Adviser Marketing Rule
• Securities and Exchange Commission – In the Matter of Waddell & Reed, LLC (September 2022)
• Securities and Exchange Commission – In the Matter of NPA Asset Management, LLC (September 2022)
• Securities and Exchange Commission – In the Matter of Buckman Advisory Group, LLC and Harry J. Buckman (September 2022) 
• Securities and Exchange Commission – Press Release and Complaint on Scott Adam Brander (September 2022) 
• Securities and Exchange Commission – In the Matter of UBS Financial Services Inc._(July 2022)
• Securities and Exchange Commission – In the Matter of JP Morgan Securities LLC_(July 2022)

Risk Alerts

• Division of Examinations Risk Alert – Examinations Focused on the New Investment Adviser Marketing Rule (September 2022)
• Division of Examinations Risk Alert – Investment Adviser MNPI Compliance Issues (April 2022)