U.S. Regulatory Update - Summer 2023

We invite you to download the Summer Edition of our U.S. Regulatory Update newsletter, where we provide unique insights and practical thought leadership on recent regulatory developments for investment advisers, broker-dealers, and more.

Download here to gain our analysis of regulatory actions, lessons learned from recent enforcement activity, and a monthly checklist for advisers!

This edition covers topics such as: 

• The SEC's updated rulemaking calendar
• The SEC's rule changes regarding money market funds
• FINRA's 2022 Annual Financial Results
• Amendments to the broker-dealer protection rule
• The creation of two new task forces by CFTC Division of Enforcement
• Lessons learned
• To-do lists for July/August
• And more

Download

How we help

The compliance environment has never been more complex or demanding. We can help you navigate the evolving regulatory landscape while considering the complexity of your firm’s unique compliance requirements. 

ACA Signature is a scalable solution curated to suit your firm’s unique compliance needs. With ACA Signature, you can choose the right combination of compliance advisory services, innovative technology, and managed services for your firm. ACA Signature puts you in complete control of your compliance program. 

Reach out to your ACA consultant, or contact us to learn how ACA Signature can help transform your firm’s compliance program.  

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