Insights
Amendments to Rule 17a-4 Electronic Recordkeeping Requirement
The SEC adopts amendments to broker-dealer electronic recordkeeping requirements, which reflect technological developments and address some of the outdated books and records requirements.
- Compliance
Survey: How Does Your Compliance Program's Resources Compare to Your Peers?
Participate in our budget and staffing survey to learn how other compliance programs are allocating their resources.
- Compliance
EXAMS Observations Related to Regulation NMS Rule 606 Disclosures
The risk alert outlines observations made during SEC examinations of Rule 606(a) disclosures since the first quarter of 2020, noting issues with firms' material aspects disclosures.
- Compliance
Newly Discovered Phishing Campaigns Evade Anti-Malware Systems
Two new phishing tactics have successfully evaded anti-malware systems: PY#RATION and Blank Image Attacks.
- Cybersecurity
The PRI Announces the Release of their 2023 Reporting Framework
The updated framework aims to incorporate signatory feedback from the 2021 Pilot Program.
- ESG
Is Your Organization’s Privacy Program Equipped to Tackle the Road Ahead?
January 28th is Data Privacy Day, a reminder that organizations should review their privacy obligations.
- Cybersecurity
What the SEC’s Increased ESG Focus Means For You
Environmental, Social, and Governance (ESG) considerations are a growing priority for regulators. We review recent trends and areas of focus in SEC examinations.
- ESG
How Will the Economic Downturn Impact Compliance Teams?
We examine how 2022's economic downturn impacted compliance companies, and explore how changing market conditions can create opportunities for new efficiencies.
- Compliance
- Managed Services
U.S. Regulatory Update – January 2023 Edition
We discuss the latest Risk Alert from the SEC’s Division of Examinations, the DOL’s change of heart on ESG for plan investments, and the SEC’s rule proposals to change the equity markets.
- Compliance
- ESG
2023 FINRA Regulatory Filings Calendar for Broker-Dealers
Prepare for the year ahead with our calendar of key FINRA regulatory filing deadlines in addition to other responsibilities at a glance to help you track your firm’s regulatory obligations.
- Regulatory Deadlines
- Compliance