Regulatory Update

May 2023

No rest for the compliance weary as regulatory updates continue for investment advisers and broker-dealers.

Welcome to our May 2023 U.S. Regulatory Update where you will find practical thought leadership for all firms regarding the Securities and Exchange Commission’s (SEC’s) recent bulletin regarding Regulation Best Interest (Reg BI) and fiduciary standards and common-sense perspectives regarding ransomware attacks from ACA’s Chief Information Officer. 


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US Reg Update May

This edition includes articles such as: 

  • Reg BI and Fiduciary Standard of Care Explained by SEC Staff
  • Ransomware Attacks… Perspective from ACA’s Chief Information Officer
  • Institutional Investment Managers – Start Keeping Track of “Say-on-Pay” Votes
  • SEC Reopens Comment Period on Proposed Amendments to Beneficial Ownership Reporting
  • Get Ready for Revised FTC Safeguards Rule
  • New FINRA Compliance Tools
  • Lessons Learned 
  • And more.