SEC Office of Compliance Inspections and Examinations Director Peter Driscoll urged firms to establish and maintain strong compliance programs that address AML, microcap securities, paying agents and cybersecurity.
On Monday, March 25, 2019, Cadwalader partners Jodi Avergun and Steven Lofchie will host a SIFMA Lunch & Learn demonstration of how technology can be leveraged to keep pace with regulatory uncertainty.
SIFMA, the Institute of International Bankers, the American Bankers Association and others urged the House Financial Services Committee to amend the "outdated" and "inefficient" Bank Secrecy Act regulatory framework.
The SEC Office of Compliance Inspections and Examinations highlighted exam priorities for 2019. The priorities focus on areas that represent increased risks to retail investors and the integrity of the U.S. capital markets.