2023 SEC Exam Priorities
Stay ahead of compliance! Discover the SEC’s 2023 exam priorities, covering retail investor protection, cybersecurity, private funds, ESG, and new marketing rules.
SEC Proposes Changes to Safeguarding Rule for Registered Investment Advisers
Discover SEC’s proposed rule changes enhancing asset protections for Registered Investment Advisers. Get SEC regulatory compliance updates.
2023 SEC Exam Priorities
Explore the SEC’s 2023 National Exam Priorities, covering new regulations, private fund compliance, fiduciary duty, and ESG disclosures.
Risk Alert: Observations from Broker-Dealer Examinations
Explore the flaws in broker-dealers’ compliance with Regulation Best Interest (Reg BI), covering disclosure, conflicts, and care obligations
SEC Proposes Amendments to Ethics Rules for Commission Employees
Discover the proposed amendments to the SEC’s ethics rules, aimed at modernizing requirements for employees and strengthening compliance
You are not out of the Woods!
Explore SEC’s settlement with Bloomberg for misleading BVAL disclosures, emphasizing implications for adviser vendor oversight
SEC3 Announces the Addition of New Director of Operations
Meet Ji Kim, SEC3’s new Director of Operations, driving business development and compliance program management.
Orion’s National Ascent 2023
Join SEC3 at Orion’s National Ascent 2023 Conference . Learn how SEC3 and Orion Compliance can manage your firm’s SEC compliance training.
No Detail Too Small!
“SEC charges ex-BlackRock manager for undisclosed conflict, highlighting need for SEC conflict disclosure in investment firms. Learn more.
Happy New Year!
Prioritize meaningful connections in 2023. Learn how SEC compliance regulations underscore fiduciary principles for financial firms.
Happy Thanksgiving! SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2022
Explore the SEC’s enforcement actions in 2022, emphasizing the importance of diligence and fiduciary responsibility in financial services.
Don’t Miss this Discussion Tomorrow–Mastering Trade-Related Communications Monitoring
Join FTF’s webinar tomorrow on mastering trade-related communications monitoring and learn how to enhance oversight within your organization.