As 2024 unwinds and end-of-year holidays quickly approach, it’s important to keep the below compliance requirements in mind to…

  Each year, the Division outlines its focus areas to inform investors and registrants about potential risks in the U.S.…

  Establishing and maintaining a stellar Anti-Money Laundering Program is the cornerstone of a financial services firm’s Compliance Program, and…

  It’s critical to ensure your firm’s AML Program is in optimal shape, and taking proactive steps now will help…

  On Monday October 21, the SEC’s Division of Examinations issued its 2025 Examination Priorities.  The priorities provide a roadmap…

  Since 2022, the SEC has initiated over 30 enforcement actions, resulting in more than $1.5 billion in penalties to…

  Cybersecurity continues to be one of the most critical operational risks for financial services companies. Like many Legal and…

  Not only have we reached the year 2024, but January is almost over! Like many broker-dealers, you are likely…

On July 31, 2023, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) published a Risk Alert sharing…

On April 26, 2023, the U.S. Securities and Exchange Commission’s Division of Examinations issued a Risk Alert to highlight the…