eComms Compliance: Stay Ahead of the Game

With the recent spree of SEC enforcement around the management and preservation of eComms—to the tune of more than $1.5 billion dollars—now is the time for firms to be thinking about best practices for managing digital communications.

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Keeping Up With the SEC: Understanding Proposed Rules and Priorities

A glance at the U.S. Securities and Exchange Commission's Rulemaking Index shows activity on over a dozen rules before the first half of 2023 is even over. That level of activity continues the momentum from 2022, which saw 34 rules proposed or finalized. With so much activity across a wide range of regulations, how can firms keep pace?

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Market Abuse Regulations - A Look Back and Ahead

Regulators around the world are concerned with the risk of market abuse and market manipulation.

Market Abuse Regulations, includingMAR in the UK, the EU Market Abuse Regulation and Section 204A of the Investment Advisers Act of 1940 in the US, prohibit insider dealing, unlawful disclosure of inside information, and market manipulation.   

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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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