2022 was, without a doubt, one of the most active regulatory years in recent history. With major cases and significant rulings creating ripples within the financial advisory landscape which are sure to continue to impact firms for years to come.
And 2023 is shaping up to be no different. With major proposed rules, like the new Custody Rule, and ongoing enforcements continuing to highlight the SEC’s agenda.
In this on-demand webinar, our speakers discuss:
- The current regulatory exam priorities of the SEC and FINRA.
- Compliance trends shaping 2023 and beyond.
- Best practices for compliance professionals to mitigate risk and achieve compliance.