Regulatory Update October 2022

Publish Date

Type

Newsletter

Topics

  • SEC
  • Compliance

Welcome to the ACA Regulatory Update - October Edition. This month, we reflect on the latest regulatory updates and developments of note. Topics of focus include the U.S. Securities and Exchange Commission’s (SEC’s) upcoming Marketing Rule exams, new crackdowns on pay-to-play violations and identity theft prevention, and tips for wrap fee program advisers.

Download here to read our unique insights and practical thought leadership as well as a checklist of important dates for the month of October.

This special edition, includes articles such as:

  • Marketing Rule Compliance Faces EXAMS Scrutiny
  • With Elections Coming Up, SEC Announces Four Pay-to-Play Settlement Cases
  • Identity Theft Red Flags Rule Violations
  • Leaving Wrap Accounts to Run on Auto-Pilot Costs Advisor $700,000 in Fines
  • A Persuasive Argument for Centralized Trading

Download

How we help

Compliance teams need continuous support and knowledge sharing to stay on top of regulatory initiatives. Our team helps you navigate the evolving regulatory landscape while considering the complexity of your firm’s unique compliance requirements.

We help our clients manage regulatory compliance, cybersecurity and risk, and performance verification through our consulting, outsourcing, and technology solutions. Our services and solutions include standard and customized compliance packages, cybersecurity and technology risk assessments, Global Investment Performance Standards (GIPS®) compliance and other performance services, and a variety of business advisory, technology, and training solutions for financial services firms.   

Contact us if you have any further questions about these rule proposals, or how ACA can help your firm meet your regulatory requirements.