In the second part of this legal update series, we summarize the key takeaways from the Division of Examinations’ (Division) 2025 priorities report released on October 21, 2024. The Division remains focused on mainstays like...more
11/22/2024
/ Anti-Money Laundering ,
Artificial Intelligence ,
Bank Secrecy Act ,
Best Interest Standard ,
Broker-Dealer ,
Code of Conduct ,
Compliance ,
Cybersecurity ,
EFTs ,
Emerging Technology Companies ,
Fiduciary Duty ,
Initial Public Offering (IPO) ,
Investment Adviser ,
Investors ,
Popular ,
Private Funds ,
Registered Investment Advisors ,
Registered Investment Companies (RICs) ,
Regulation S-P ,
SBSD ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps
One of the concerns following the Supreme Court’s ruling in SEC v. Jarkesy was that other agencies may face similar collateral attacks to its administrative proceedings. While the full impact of Jarkesy remains an open...more
10/25/2024
/ Administrative Proceedings ,
Cybersecurity ,
Enforcement ,
Enforcement Actions ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Insider Trading ,
Investment Adviser ,
Lucia v SEC ,
Recordkeeping Requirements ,
Regulation Best Interest ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Whistleblower Protection Policies