SEC Examination Priorities and the APAC Impact in 2023 - On-Demand Webinar

Each year, the SEC sets out a number of key priorities for their regulated entities.

Read More

Mid-Year Regulatory Review – What’s the Latest from the SEC and FINRA?

As we enter the third quarter of 2022 it's clear that both the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are continuing to demonstrate a steady pace of enforcement.

And there’s no indication that this steady pace will be slowing down. In fact, in recent remarks, SEC Director of the Division of Enforcement Gurbir S. Grewal noted that he’s “been asking staff to look for ways in which to push the pace of investigations since day one.”

Read More

Taking the Broad View: Better Risk and Compliance Through Holistic Oversight

In order to be effective advisors, Chief Compliance Officers must have a clear and holistic view of their organization’s risk profile. A clear and holistic view of risk helps compliance set regulatory priorities, identify gaps in policies and procedures and streamline operations. 

Read More

Look Back to Move Forward: Practical Guidance for Compliance in 2021

Taking a look back can help you move forward. Now’s the time to take a step back and consider how new or elevated risks during the year have been addressed, how controls have been established, and how compliance initiatives undertaken at year-end can set the stage for a stronger compliance program in 2021.

Read More

A Compliance Officer's Crystal Ball: Compliance Predictions for 2021

As a compliance officer, regulatory counsel, risk manager or auditor, what keeps you up at night? Where do you need to focus your time and energy to close out the year strong and position yourself for success in 2021?

Read More