April’s Regulatory Recap

April’s Regulatory Recap is now available here. It’s a short one this month, and the only thought that is running through my head is the calm before the storm.

Are you keeping up with everything that you should be?  Our Weekly Rewinds, which generally come out on Tuesday morning, contains regulatory and supervisory actions for the previous week. Previous issues are available on our Resources page. You can subscribe to these show up in your mail box, and you don’t have to remember to go looking for them.

We still have a few slots in 2022 available for compliance audits. If you don’t see what you are looking for on our Audit Service’s page, contact us. We probably can do it for you.

 

Please be advised that CSG provides financial services compliance audit and consulting services to our clients.  The services that we provide include certain tasks that may be characterized as “law-related services” under Rule 5.7 of the Rules of Professional Conduct governing lawyers.  Since some of our employees are lawyers with an active bar license but are NOT engaged in the private practice of law, that Rule requires us to make disclosures clarifying that the services we perform may be law-related services, but they are not legal services.  Because they are not legal services, those services and our relationship will not be governed by the Rules of Professional Conduct that guide the client-lawyer relationship, such as rules applicable to privileged communications and prohibitions of conflicts of interest.  Notwithstanding this disclaimer, we will continue to govern our relationship with you using reasonable ethical and professional standards that are expected to meet your expectations.

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