Beyond the Headlines: Crypto and Digital Asset Compliance

In a recent interview with Yahoo Finance, United States Securities and Exchange Commission Chair Gary Gensler said that he has one goal for crypto regulation in 2023 – “making crypto exchanges and lending platforms come into compliance.”

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SEC Examination Priorities and the APAC Impact in 2023 - Webinar

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

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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.”

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Insider Trading, Digital Assets and MNPI: Regulatory & Compliance Risk

The U.S. Securities and Exchange Commission recently issued a risk alert warning investment advisers of common deficiencies related to their firms' ethics codes and the handling of material non-public information. According to Thomson Reuters Senior Regulatory Intelligence Expert Todd Ehert, the warning is a strong reminder that proper handling and safeguards of material non-public information (MNPI) is a core compliance responsibility for all advisers that should not be overlooked.

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Books and Records in the Regulatory Spotlight

With recent enforcement actions reflecting the Gensler administration’s priority on books and records, can your firm's  audit trail stand up to regulatory scrutiny?

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