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
In a two-part legal update, we will discuss key information SEC registrants should know going into the upcoming review cycle conducted by the Division of Examinations (the Division). This first update attempts to demystify...more
On June 5, 2024, the SEC's Division of Examinations (the Division) released a risk alert regarding the examination of broker-dealers. The alert acknowledges the diversity of the broker-dealer population in the marketplace...more
7/5/2024
/ Anti-Money Laundering ,
Books & Records ,
Broker-Dealer ,
Cryptocurrency ,
Disclosure Requirements ,
Investment Adviser ,
Marketing ,
Net Capital Rule ,
Popular ,
Registration Requirement ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)