Annual Investment Advisor Regulatory Review and Outlook

As we kick off 2018, it’s important to take a look back across the regulatory landscape on what transpired over the course of 2017 and look ahead in anticipation on what the New Year may bring for Investment Advisors.

In the following Annual Investment Advisor 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.

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This entry was posted in Compliance Bulletin, Compliance/ Risk Management 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.
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