Resources
WEBINAR – The SEC’s 2025 Examination Priorities
Each year, the Division outlines its focus areas to inform investors and registrants about potential risks in the U.S.…
Read moreWEBINAR – Critical AML Tips for a Successful Compliance Program
Establishing and maintaining a stellar Anti-Money Laundering Program is the cornerstone of a financial services firm’s Compliance Program, and…
Read moreCritical AML Tips for a Successful Compliance Program
It’s critical to ensure your firm’s AML Program is in optimal shape, and taking proactive steps now will help…
Read moreThe SEC’s 2025 Examination Priorities
On Monday October 21, the SEC’s Division of Examinations issued its 2025 Examination Priorities. The priorities provide a roadmap…
Read moreWEBINAR – Best Practices: Retention of Text Messages, Slack and Other Electronic Communications
Since 2022, the SEC has initiated over 30 enforcement actions, resulting in more than $1.5 billion in penalties to…
Read moreFINRA Cybersecurity: How Does Your Firm Measure Up? 10 Best Practices for Establishing a Robust Cybersecurity Program.
By Kimberly Johnson, Senior Vice President Cybersecurity continues to be one of the most critical operational risks for financial services…
Read moreTips for a Successful 2024 Broker Dealer Compliance Program
By Kimberly Johnson, Senior Vice President Not only have we reached the year 2024, but January is almost over! Like…
Read moreSEC Risk Alert: Broker-Dealers AML / CFT Programs
On July 31, 2023, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) published a Risk Alert sharing…
Read moreSEC Risk Alert: Safeguarding Customer Records and Information at Branch Offices
On April 26, 2023, the U.S. Securities and Exchange Commission’s Division of Examinations issued a Risk Alert to highlight the…
Read moreSEC RISK ALERT: Observations from Examinations of Newly-Registered Advisers
On March 27, 2023, Staff from the SEC’s Division of Examinations published guidance stemming from examinations of newly registered investment…
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