SEC Enforces Second-Highest Year for Penalties
The Securities and Exchange Commission (SEC) recently announced its Enforcement [...]
15
11, 2023
10
08, 2023
Five Tips to Prevent Off-Channel Communication Issues
Several more Wall Street banks have been hit with substantial [...]
9
08, 2023
SEC Proposes Rule to Address Growing Use of AI
The Securities and Exchange Commission (SEC) proposed new rules and [...]
17
07, 2023
Five Things Every IA Firm CCO Needs to Know
Have you ever wondered what areas of compliance the SEC [...]
16
06, 2023
SEC Releases Second Risk Alert on Marketing Rule
The Securities and Exchange Commission (SEC) is delivering on its [...]
12
05, 2023
SEC Releases Third Reg BI Bulletin, Emphasizes Care Obligations
On April 20, 2023 the Securities and Exchange Commission (SEC) [...]
12
05, 2023
SEC Issues Risk Alert on Safeguarding Customer Records
The SEC’s Division of Examinations staff recently issued a risk [...]
20
03, 2023
SEC Issues New Cybersecurity Requirement Proposal
In a recently released statement, the SEC is proposing a [...]
17
03, 2023
Three Takeaways from the 2023 IAA Compliance Conference
Quest CE joined 500+ other industry peers at the IAA [...]
13
02, 2023
Six Takeaways from the SEC’s 2023 Exam Priorities
On February 7th, the SEC released its list of exam [...]
