SEC brings recordkeeping into the 21st century with Rule 17a-4 amendments
The SEC has made amendments to recordkeeping Rule 17a-4 for the first time in 25 years. But what do the amendments mean, and how can firms prepare?
New SEC Rule 10 to lift the lid on cybersecurity risk
The U.S. SEC has published proposals for new Rule 10, which would introduce cybersecurity requirements for all "covered entities" including new immediate reporting requirements in the event of significant cybersecurity incidents.
SEC Marketing Rule: compliance and confusion
The SEC’s Marketing Rule came into force on November 4, 2022, making substantial amendments to Rule 206(4)-1. We look at how investment advisers can successfully demonstrate compliance despite its complexity.
SEC brings recordkeeping into the 21st century with Rule 17a-4 amendments
The SEC has made amendments to recordkeeping Rule 17a-4 for the first time in 25 years. But what do the amendments mean, and how can firms prepare?
SEC will reward cooperation where firms “mess up” with unauthorized communication
SEC Chair, Gary Gensler has suggested that financial institutions “did not act as if they got the message” around unauthorized communications. Is the regulator changing its approach?
The SEC Turns Its Sights On Crypto
Are existing structures in the crypto space sufficient to layer in some protections, or is the market too unique for these regulations?
SEC Wall Street Inquiry a Forewarning to Financial Firms on Employee Supervision
Chip Jones shares how workers sending texts and email on personal devices in a remote working environment are amplifying the compliance risks and challenges.