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.…

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WEBINAR – 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…

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Critical 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…

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The 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…

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WEBINAR – 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…

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FINRA 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…

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Tips 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…

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SEC 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…

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SEC 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…

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SEC 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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