What you'll learn

    During his campaign for President, Donald Trump has hinted at making sweeping changes to the SEC, including replacing Chair Gary Gensler.

    Our senior leaders compared Trump's recent promises to investors and the financial industry to the trends of the SEC and FINRA actions during his previous term. We will discuss the regulators' focus on retail investors, seniors, and fraud and insider trading from 2017 to 2021, and how that compares to the comments he has made about the financial industry during his campaign speeches.  

    We discuss the expected impact to: 

    • SEC exams, enforcement, and rulemaking 
    • FINRA priorities and focus areas 
    • Cryptocurrency investing 

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    Our speakers
    • Carlo di Florio, President, ACA Group
    • Sanjay Lamba, Associate General Counsel, Investment Adviser Association (IAA)
    • Roseanne Harford, Director of Thought Leadership, ACA Group
    ACA Group

    ACA Group (ACA) is the leading governance, risk, and compliance (GRC) advisor in financial services. For over 20 years, we’ve empowered our clients to reimagine GRC to launch, grow, and protect their business. Our global team of 1,300+ employees include former regulators and practitioners with a deep understanding of the regulatory landscape. Our innovative approach integrates advisory, managed services, distribution solutions, and analytics with our ComplianceAlpha® technology platform.

    Gain peace of mind as you launch, grow, and protect your business with ACA.

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    Our unique blend:

    Our regulatory compliance, managed services and technology gives you access to full service GRC solutions that can help you launch, grow, and protect your firm.