Articles

Results 1 to 5 of 29


5 Trends to Watch: 2023 Financial Regulatory & Compliance

USA - January 17 2023 The U.S. Securities and Exchange Commission (SEC) proposed 35 new rules and adopted 17 rules in 2022 alone. The regulator’s emphasis o…

William B. Mack

ENABLERS Act Proposes to Expand Definition of ‘Financial Institution’; Impose BSA/AML Requirements on Professional Service Providers

USA - October 13 2022 On July 14, 2022, the U.S. House of Representatives passed bipartisan legislation that, if passed by the Senate and signed into law, would expand the…

Kyle R. Freeny, Janiell "Alexa" Gonzalez, Marina Olman-Pal

SEC Announces 2022 Examination Priorities

USA - May 5 2022 On March 30, 2022, the Securities and Exchange Commission (SEC) Division of Examinations (Division) announced its examination priorities (the Exam…

Arthur Don, Douglas W. Hathaway

2022 report on FINRA’s examination and risk monitoring program

USA - February 24 2022 On Feb. 9, 2022, the Financial Industry Regulatory Authority (FINRA) released its 2022 Report on FINRA’s Examination and Risk Monitoring Program…

Arthur Don, Douglas W. Hathaway, William B. Mack

2021 SEC Examination Priorities for Securities Industry Registrants

USA - March 26 2021 The Division of Examinations (the Division) (formerly known as the Office of Compliance Inspections and Examinations, or OCIE) of the U.S. Securities…

Claudio J. Arruda, Arthur Don, Steven M. Felsenstein, Elaine C. Greenberg, Steven M. Malina