GRC hot topics
We examine the challenges set to face firms over the next twelve months, including ESG, equivalence vs. divergence, the new world of work, transaction reporting, market surveillance, cyberthreat trends, the SEC’s new marketing rule, post-COVID recovery, the future of regulatory hosting, as well as FCA and SEC priorities.
- SEC Marketing Rule
Learn about the recommendations from the Task Force on Climate-Related Financial Disclosures (TCFD) to incorporate climate-related risks and opportunities into companies' decision-making processes.
Advisers that focus on real estate strategies are working through some unique issues as they prepare to implement the provisions of the rule.
Shifting demands in regulators on financial services firms have elevated the importance of compliance to best practices. Learn what compliance officers are focused on in their surveillance processes.
In part two of our Operational Resilience in Focus series, we will discuss the details of the cyber and information security resilience domain.
- Cybersecurity Resources
The U.S. SEC filed an enforcement action against a broker-dealer and five of its registered representatives for violating certain provisions of Regulation Best Interest
For the second year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one worry for investment adviser compliance officers, according to the 2022 Investment Management Compliance Testing Survey.
The SEC approved a rule change to amend FINRA Rule 2231 with respect to Customer Account Statements. FINRA will announce the proposed change’s effective date shortly.