Julie DiMauro35 min listen
GRIP2 min read
Vlada Gurvich3 min read

The priorities fall into several core themes: conduct, fiduciary standard, compliance program effectiveness, technology, operational resilience, and cybersecurity.
Janaya Moscony | SEC32 min read

FINRA sends a clear signal that procedural lapses alone can now constitute a violation.
Janaya Moscony | SEC32 min read

Lessons from the SEC’s first Marketing Rule case.
Janaya Moscony | SEC32 min read

Recent cases highlight the SEC’s continuing focus on how financial incentives influence employee recommendations.
Janaya Moscony | SEC32 min read

After reviewing the case, Janaya Moscony offers compliance tips on disclosures and robust fee practices.
Janaya Moscony | SEC31 min read

A stark reminder that Chief Compliance Officers are on the hook for misleading regulators during an examination.
Janaya Moscony | SEC31 min read

After tracking a phishing campaign impersonating the SEC, SEC3 Compliance share what they have learned so far and offer tips on how to avoid being scammed.
Janaya Moscony | SEC31 min read

The rule places RIAs and ERAs under Bank Secrecy Act-style compliance obligations.
Janaya Moscony | SEC32 min read