Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence Season 7, Episode 4: “Tumult and change” and new rules shape U.S. SEC’s exam priorities this year
Feb 16, 2023
36:33
The U.S. SEC’s annual list of examination priorities is a key document setting the agenda for financial services compliance professionals on Wall Street and Main Street.
This year the regulator signals it will be examining investment advisers and broker-dealers in light of the “tumult and change” caused by geopolitical and economic events, as well as by rule changes it has imposed in recent years.
In this episode, Randall Mikkelsen, managing editor for North America for Regulatory Intelligence, is joined by Jason Wallace, senior editor, to review the latest priorities list issued in February, and talk about how compliance professionals can best prepare.
The "Compliance Clarified" podcast series covers the wide range of topics which affect compliance at financial services firms, and aims to help make sense of the often-challenging regulatory environment. It considers the big challenges of the day and offers practical ideas for emerging good practice.
Follow these links for more coverage by Thomson Reuters Regulatory Intelligence of the exam priorities and related compliance issues.
Marketing, private-fund advisers lead list of SEC exam priorities for advisers: https://regintel-content.thomsonreuters.com/document/I89B0B8C0A80011EDB628EC1DFA8C5BED
SEC 2023 exam priorities shaped by 'tumult and change' of recent years: https://regintel-content.thomsonreuters.com/document/I58648520A74811EDB628EC1DFA8C5BED
To learn more about Regulatory Intelligence: https://legal.thomsonreuters.com/en/forms/contact-sales-regulatory-intelligence
Compliance Clarified is a podcast from Thomson Reuters Regulatory Intelligence.
Listen to wide-ranging, insightful discussions on all things compliance for financial services firms. We delve into the hot topics of the day, the challenges faced and offer up practical ideas for emerging good practice. We de-mystify regulation and explore the art, as well as the science, of the ever-expanding role of the compliance officer. Enforcements, digital transformation, regulatory change, governance, culture, conduct risk – anything and everything impacting the compliance function is up for discussion.
This year the regulator signals it will be examining investment advisers and broker-dealers in light of the “tumult and change” caused by geopolitical and economic events, as well as by rule changes it has imposed in recent years.
In this episode, Randall Mikkelsen, managing editor for North America for Regulatory Intelligence, is joined by Jason Wallace, senior editor, to review the latest priorities list issued in February, and talk about how compliance professionals can best prepare.
The "Compliance Clarified" podcast series covers the wide range of topics which affect compliance at financial services firms, and aims to help make sense of the often-challenging regulatory environment. It considers the big challenges of the day and offers practical ideas for emerging good practice.
Follow these links for more coverage by Thomson Reuters Regulatory Intelligence of the exam priorities and related compliance issues.
Marketing, private-fund advisers lead list of SEC exam priorities for advisers: https://regintel-content.thomsonreuters.com/document/I89B0B8C0A80011EDB628EC1DFA8C5BED
SEC 2023 exam priorities shaped by 'tumult and change' of recent years: https://regintel-content.thomsonreuters.com/document/I58648520A74811EDB628EC1DFA8C5BED
To learn more about Regulatory Intelligence: https://legal.thomsonreuters.com/en/forms/contact-sales-regulatory-intelligence
Compliance Clarified is a podcast from Thomson Reuters Regulatory Intelligence.
Listen to wide-ranging, insightful discussions on all things compliance for financial services firms. We delve into the hot topics of the day, the challenges faced and offer up practical ideas for emerging good practice. We de-mystify regulation and explore the art, as well as the science, of the ever-expanding role of the compliance officer. Enforcements, digital transformation, regulatory change, governance, culture, conduct risk – anything and everything impacting the compliance function is up for discussion.