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SEC enforcement update: Lessons on compensation-driven conflicts
Recent cases highlight the SEC’s continuing focus on how financial incentives influence employee recommendations.
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SEC action highlights compliance risks in fee and expense practices
After reviewing the case, Janaya Moscony offers compliance tips on disclosures and robust fee practices.
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Think before you “fix” it: CCO missteps lead to personal fines and bar
A stark reminder that Chief Compliance Officers are on the hook for misleading regulators during an examination.
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Lessons from a phishing scam posing as SEC information gathering
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.
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New FinCEN AML Rule brings investment advisers under bank-like scrutiny
The rule places RIAs and ERAs under Bank Secrecy Act-style compliance obligations.
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OPINION: SEC scraps 14 rule proposals, but don’t be naive
Former SEC regulator Janaya Moscony warns that rule scrapping doesn’t necessarily equate to “a hands off regulator.”
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SEC Chair Paul Atkins sets pro-innovation tone in first public remarks
Could new rulemakings reshape how registrants operate in digital markets?
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Top compliance program mistakes (and how to avoid them): A marathon, not a sprint
The final part in this series of 3: Compliance as an ongoing commitment of documentation, consistency, and continuous improvement.