Annual Broker-Dealer Regulatory Review and Outlook

Now that 2017 has ended and 2018 is emerging on the regulatory horizon, we find ourselves in a position to look back on what has transpired over the course of the past year in an effort to anticipate what the New Year may bring for Broker-Dealers.

In the following Annual Broker-Dealer Regulatory Review and Outlook (2017), Kaitlyn Gibbs offers her perspective on what the highlights were in 2017, as well as what will be at the center of regulatory development in 2018.
The Annual Broker-Dealer Regulatory Review and Outlook (2017)

Download Annual Broker-Dealer Regulatory Review and Outlook 

To download your complimentary copy of the Annual Broker-Dealer Regulatory Review and Outlook (2017), use the form below:


Click Only Once Please! Processing may take up to 90 seconds

This entry was posted in Broker Dealer, Compliance Bulletin by Kaitlyn Gibbs.

About Kaitlyn Gibbs

Kaitlyn Gibbs joined CRC in 2017. She is a regulatory compliance professional with 7 years of experience in the financial services industry. Kaitlyn has extensive knowledge of the rules of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. She previously managed compliance processes and performed forensic testing in her role as Compliance Analyst at Welch & Forbes LLC. She has experience performing annual reviews and risk analyses, regulatory research, as well as Code of Ethics administration. Her primary focus areas include, process implementation and enhancement, cybersecurity, marketing materials review, private equity investment compliance, and investment portfolio compliance. Most recently at CRC, Kaitlyn has performed regulatory research, evaluated compliance programs, and performed annual reviews and risk assessments for investment advisors. Kaitlyn holds a Bachelor’s Degree in English from Boston University.