Tag: Regulation Best Interest
What SEC 2026 exams mean for compliance teams
The U.S. Securities and Exchange Commission has unveiled its Fiscal Year 2026 Examination Priorities, and while the language may appear measured, the message to...
Financial advisor compliance: policies, tech and audits
Financial advisors sit in one of the most heavily regulated corners of financial services, and the job is getting harder as client expectations rise,...
SEC’s 2024 exam priorities: Spotlight on compliance and recordkeeping practices
The SEC exam priorities for 2024 underscore the importance of compliance and recordkeeping within financial services. The focus will be on practices and products...
The broker-trader reporting laws are about to get a lot more...
Broker-traders and everyone associated in the business have to comply with stringent reporting requirements.
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