Getting priorities straight – Key takeaways from the SEC’s 2025 Examination Priorities
The SEC’s 2025 Examination Priorities continue trends seen throughout 2024. However, in line with developing interest areas, there is an increased weight placed on topics like AI and operational resilience.
Recordkeeping failures dominate SEC enforcement results in 2022
The SEC has published its enforcement results for fiscal year 2022, revealing a record year for penalties. We look at the 5 key takeaways.
FINRA sweeps communications for crypto assets
In the face of increased volatility in the crypto asset market, FINRA has asked broker dealers to disclose their communications data for crypto.