IOSCO's fifth annual World Investor Week will focus on sustainable finance, and fraud and scams prevention.
News & Insights
The FDIC adopted a rule establishing a process to identify and investigate potential misrepresentations of FDIC deposit insurance or misuse of the agency's name or logo. The CFPB issued related guidance.
The SEC Division of Examinations outlined its annual priorities for 2023. The new report includes a heightened focus on RIA regulation, private investment fund RIAs, ESG-focused investing, Regulation Best Interest for broker-dealers and the fiduciary standard for advisers.
The SEC proposed a "draft strategic plan" detailing its priorities for FY 2022 through FY 2026.
In an address before the North American Securities Administrators Association, SEC Chair Gary Gensler reviewed the evolution of broker-dealer and investment adviser best interest practices over time, and how those practices should account for issues raised by the new "digital age" of finance.