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SEC outlines 2024 examination priorities

On October 16, 2023, the Securities and Exchange Commission’s (SEC) Division of Examinations (the Division) published its annual examination… ....

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SEC Outlines 2024 Examination Priorities | Latham & Watkins LLP

The priorities highlight emerging and core risk areas for investment advisers, broker-dealers, and other entities, including cybersecurity and crypto assets. On October. ....

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Kaizen Reporting Wins 'Best Reporting Solution For CFTC Reporting' At The RegTech Insight Awards USA 2021

<p><span>Leading regulatory technology firm, Kaizen Reporting (Kaizen), has won Best Reporting Solution for CFTC Reporting at the RegTech Insight Awards USA for its ReportShield™ Accuracy Testing service.</span></p> ....

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SEC Instructs SBS Entities On Document Submissions Under Financial Responsibility Rules - Finance and Banking

SEC .Division of Trading and Markets ("Division") staff instructed security-based swap ("SBS") entities on documentation submissions. ....

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