The agency signaled that it intends to rely less on enforcement to define policy and more on clear, workable rules to reduce regulatory complexity and improve coordination across regulators.
RIA
The amendments significantly expand expectations around incident response, customer notification, and service provider oversight.
Tokenized securities are still securities, and the compliance expectations for RIAs are evolving rapidly.
The Proposed Rule is a welcome development to modernize the existing, outdated requirements related to outside business activity and private securities transactions.
Cyber risk remained in the top tier of concern as regulatory risk slipped.
An at-a-glance guide to building a robust compliance program, and the role of the CCO.
Practical tips and advice for compliance officers on how to approach this annual filing with the SEC.
Contractual provisions to arbitrate disputes can be less-than-transparent and restrictive — but also sometimes cheaper and less burdensome than litigation.