Securities and Exchange Commission

Stop, cooperate, and listen – The five principles of cooperating with SEC investigations

Gurbir Grewal, the Director of the SEC’s Division of Enforcement, has laid out five principles firms should adhere to in order to effectively work with investigations – and secure better outcomes.

Cryptic crypto – FINRA says crypto marketing needs clearing up

After a two-year review, FINRA has found that 70% of broker dealers’ crypto marketing communications violate rules requiring they be “fair and balanced”.

What can financial services firms learn from the SEC’s X account hack?

With the Securities and Exchange Commission’s X account being hacked and used to share false information, what lessons can firms learn to minimize social media risk?

What do the SEC enforcement results tell us about compliance trends?

With the Securities and Exchange Commission releasing its annual enforcement results, we explore what they convey about regulatory priorities over the last year – and for the year to come.

Regulatory Wrap Episode 14: SEC Enforcement Results 2023

In Regulatory Wrap for the week to November 17, 2023, Jennie Clarke unpicks Securities and Exchange Commission’s Enforcement Results 2023.

Regulatory Wrap Episode 11: Evaluating Trends Over The Years – WhatsApp & SMS – But What’s Next?

In Regulatory Wrap for the week to October 27, 2023, Jennie Clarke explores regulatory enforcement trends from throughout the year - and what these can tell us about potential trends for 2024

28 pages later – but are SEC’s 2024 Examination Priorities a blockbuster?

The SEC's 2024 Examination Priorities see the regulator prioritizing perennial compliance topics. Is this a step away from the 'modern' approach we've come to expect?

$40,000 fine for individual who used personal phone for business

FINRA has issued an individual with a $40,000 fine after he was found to have used a prohibited personal phone for business purposes.

Trouble at the top? SEC charges senior execs with insider trading

The SEC has charged a CCO, CSO, and a Police Chief with insider trading. Are senior leaders muddying the waters when it comes to compliance?

Marketing Compliance – One Rule to Rule Them All

The marketing department may be your least-expected area of compliance risk. The regulators are on to it, and you should be too. We set out five critical questions for confident compliance with new marketing rules.

Is Regulation Keeping Pace with AI Innovation?

The SEC’s recently laid out rule-writing agenda shows they have AI in their sights. But is the speed of technological innovation outpacing regulation?