A Regulatory Retrospective on 2020

The pandemic added a detour, but not a speed bump, to the regulatory agenda

This year's busy regulatory agenda was only made more complicated by the COVID-19 pandemic. As 2020 draws to a close, we have prepared this retrospective on the major regulatory developments that impacted financial advisors and planners over the past twelve months.

Please Note: You must log into your Advocis account to read the full bulletin 

Questions? Please contact James Ryu, Senior Director, Legal & Regulatory Affairs.