Preparing for the Future Regulatory Landscape
Navigating SEC Regulations and Enforcement under Gary Gensler's Leadership
- Cybersecurity Risk Management
- Privacy of Consumer Financial Information and Safeguarding Customer Information
- Safeguarding Advisory Client Assets
- Outsourcing by Investment Advisers
- Environmental, Social, and Governance Disclosures
- Private Fund Advisers; Documentation of Compliance Review
Further, under the leadership of SEC Chairman Gary Gensler, AdvisorAssist is observing an upward trend in more rigorous and lengthy examinations, ultimately being evidenced by a heightened enforcement environment.
RIAs and their Chief Compliance Officers need to stay informed of ongoing developments of these rule proposals and remain proactive to ensure firms are prepared to address the SEC and the future of the regulatory landscape.
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