SEC Examinations Division Publishes 2022 Priorities
The SEC Division of Examinations recently published its list of priorities for 2022. While it was a bit late compared to a typical year, the…
Source: lexology.com
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SEC Examinations Division Publishes 2022 Priorities | Goodwin
The SEC Division of Examinations recently published its list of priorities for 2022. While it was a bit late compared to a typical year, the priorities letter provides a roadmap for...
Source: jdsupra.com
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New and Familiar Compliance Challenges for FINRA Members in 2021 and What That Means for 2022 | Katten Muchin Rosenman LLP
Payment for order flow (PFOF) and best execution; market access; finfluencers and gamification; and anti-money laundering were some of the most critical emerging and familiar compliance...
Source: jdsupra.com
New and Familiar Compliance Challenges for FINRA Members in 2021
Payment for order flow and best execution; market access; finfluencers and gamification; and anti-money laundering were some of the most critical emerging and familiar compliance challenges faced by member firms addressed by the Financial Industry Regulatory Authority in 2022
Source: natlawreview.com