The #SEC laid out four proposals which Chair Gary Gensler says would boost transparency and competition. They delve into the details of how the $43 trillion market works and affect everything from order routing to pricing and disclosures. Learn more. okt.to/1tfiLE

The DOL set forth a regulation which would facilitate ESG principles in retirement investing. Following the revision, the regulation has seen great support from powerful organizations in the investment industry. Learn more from InvestmentNews. okt.to/h1z8Y3

Fiscal year 2022 was a record year for the SEC with 760 enforcement actions. According to experts, the #SEC will focus on how firms use compliance consultants to help them manage their compliance programs. Learn more from ThinkAdvisor. okt.to/6zXGJU

According to a PwC Pulse Survey, cyberattacks are a top concern. As more employees work from home on personal internet networks, there is a higher risk of data breaches. Here are tips financial firms can implement to protect themselves from cyberattacks. okt.to/eF8Qns

With regulators and industry officials taking a new look at investment markets amid collapsing prices for stocks, bonds and everything else, 2022 was bound to be a big year for regulation. Here are some of the top regulations which impact financial firms. okt.to/cPf1W5

Despite the vast amount of time and expense put toward enhancing financial crime controls, many financial firms continue to be penalized by regulators for violating anti-money laundering regulations. Here are a few lessons in preventing AML failures. okt.to/1nKSUE

The growing number of items which compliance teams must monitor has made tracking #regulatorycompliance disclosures more complicated. As the size of a firm grows, this task becomes even more difficult. Here are a few tips to avoid disclosure violations. okt.to/izdBsA

The U.S. Department of Justice is expanding its leniency policies to persuade companies to report their own misconduct to prosecutors. These policies already exist, but the DOJ intends on applying them to a variety of white-collar matters. Learn more. okt.to/2K5Szt

A recent Reuters report indicates the SEC has stepped up its probes of how RIAs manage digital assets like cryptocurrencies. However, the recent crypto collapse prompted the SEC to further scrutinize how RIAs handle #cryptocurrencies. Learn more. okt.to/EQ6ivL

It’s trendy in the investment adviser space to outsource portfolio management. This allows advisers to focus on other tasks which add value to their firm, like prospecting for new clients, while their clients’ needs are still being met. Learn more. okt.to/S1OwyK

The DOL has proposed an independent contractor rule which would re-classify employee status for many. The proposal is meant to ensure people who should be classified as direct employees are not being improperly deemed independent contractors. Learn more. okt.to/q1TBX9

The U.S. Securities and Exchange Commission adopted rule changes to shorten the standard settlement cycle for most broker-dealer transactions in securities from two business days after the trade date (T+2) to one (T+1). Learn more. okt.to/XtvhKp #SECregulations #SEC

The FSI released its study regarding independent financial advisers’ response to the #DOL’s proposed independent contractor rule. The results from the study have some troubling implications for the financial landscape. Learn more. okt.to/ka70uq

The SEC has proposed a new rule which would require RIAs to hold all types of client assets with third-party custodians that meet certain investor-protection standards. Learn more from Financial Planning. okt.to/5EkLlZ

According to a report by Fidelity, the market for acquiring RIAs got off to a slow start in 2023, as buyers and sellers weigh rising interest rates and high valuations for firms when doing the math on potential deals. Learn more from InvestmentNews. okt.to/HWsD34

A federal court in Florida has struck down a DOL guidance which recommended rolling over retirement assets from a company plan to an IRA would trigger fiduciary duty requirements under the Employee Retirement Income Security Act. Learn more. okt.to/0i1WQc

Michael Kitces’ Financial AdvisorTech Solutions Map showcases firms whose #fintech is designed to be used by financial advisers. As the map approaches its five-year anniversary it’s interesting to reflect on its development over time. Learn more. okt.to/JA4XW6

The SEC's Marketing Rule is the first overhaul of advertising rules since 1961. It allows investment advisers to use testimonials and endorsements for the first time, and generally gives them more latitude to sell themselves.  Learn more. okt.to/hxYdX3

Gary Gensler is stepping up warnings to asset managers about their use of predictive data analytics. Gensler said data technologies may create "inherent conflicts" of interest related to the duty that investment advisors have to their clients. Learn more. okt.to/9mkdcx

#SEC Chair Gary Gensler said he’s open to changing the agency’s proposed overhaul of Wall Street trading rules. While institutions have been quick to provide input, the regulator is interested in hearing from individual investors. Learn more. okt.to/IUyZRm