In the U.S., the Securities and Exchange Commission (SEC) has signaled a clear shift in focus and prioritization. Recent commentary from SEC Chair Gary Gensler indicates that the agency will likely push forward with an aggressive rulemaking agenda.
"The SEC’s Enforcement Division is the cop on the beat for America’s securities laws…As these results show, we go after misconduct wherever we find it in the financial system, holding individuals and companies accountable, without fear or favor, across the $100-plus trillion capital markets we oversee." - Chair Gary Gensler, 2021 Division of Enforcement Annual Report
The U.S. SEC filed an enforcement action against a broker-dealer and five of its registered representatives for violating certain provisions of Regulation Best Interest
The optional Diversity Assessment Report provides firms the opportunity to strengthen their diversity and inclusion programs
Advisors must stay on top of changes in their firm, as well as regulatory updates, that could impact any part of their Form ADV.
SEC settles charges with the Investment Advisor for $1.5 Million
SEC Claims Mining Company Mislead Investors
The Division’s focus on ESG is based on several issues that have emerged during the recent surge in investor interest in ESG related topics.
Join us for a special live Consultant's Corner webcast where we'll discuss what firms should know about the recent deficiencies uncovered in private fund manager examinations.
Our surveillance, compliance, and technology experts will discuss the latest client communication trends in the financial industry and what solutions are available to monitor and archive those communications.
Hear from ACA’s Carlo di Florio, Mike Pappacena, and Liam Jaris as they unpack the SEC’s proposed cyber rules and amendments and describe how they can affect private fund managers.