Get the Message! Preserve eComms or Face Steep Regulatory Consequences

In recent months the SEC and CFTC have charged multiple Wall Street firms with widespread recordkeeping failures, handing down staggering penalties in excess of 2.5 billion dollars and counting. Firms—including smaller ones—should only expect that the aggressive enforcement will continue.  And the SEC's  Division of Examinations 2024 Priorities only reinforce the agency's continued focus on the importance of record keeping and demonstrable communications compliance, including the effective management of off-channel communications.  

Are your books and records ready to stand up to regulatory scrutiny?

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The SEC Speaks About Off-Channel Communications, Disclosures and More

Presented by the Practising Law Institute in conjunction with the U.S. Securities and Exchange Commission, SEC Speaks 2024 provided insights and updates on the agency’s current priorities and initiatives from Chair Gary Gensler, Commissioners, and senior staff from divisions across the agency.

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A Guide to Global Regulators Covering Communications Surveillance

U.S. Securities and Exchange Commission (SEC) enforcement for failure to maintain and preserve adequate records of electronic communications and for failure to adequately supervise the use of off-channel communications is at the top of compliance professionals' minds right now. The size and scope of the firms involved and the staggering $2.5 billion plus in penalties assessed have made the actions a hot topic in the news and across the financial services industry. 

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SEC Enforcement and Priorities Set Compliance Expectations for 2024

2023 was another active year for U.S. Securities and Exchange Commission (SEC) enforcement, encompassing a wide range of violations against individuals and firms of all sizes.  

Understanding 2023 enforcement actions along with the agency’s 2024 enforcement priorities will help firms better assess and anticipate regulatory expectations—and set the stage for better compliance. 

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On-Demand Webinars on the Most Essential Compliance Topics

It’s been an eventful year in Financial Services risk and compliance across the globe. From record enforcement levels to market disruptions to evolving regulations around emerging risks like digital assets and crypto, developments have been coming at compliance professionals at a fast and furious pace.

To keep up with the latest regulatory developments and understand the practical impact on compliance, check out MCO's library of 2022 on-demand webinars for expert guidance viewed at your convenience.

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