SEC Division of Enforcement Director Gurbir Grewal asserted that the "decline in trust in our financial markets" is in part a result of "repeated lapses by large businesses, gatekeepers, and other market participants." He said that regulators do not hold them sufficiently accountable.
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In remarks at Practising Law Institute's 2021 SEC Speaks program, SEC Chair Gary Gensler raised regulatory concerns about "the uses of digital analytics in finance."
SEC Chair Gary Gensler directed staff to study the risks of complex exchange-traded products and recommend potential rulemakings to address such risks.
IOSCO's fifth annual World Investor Week will focus on sustainable finance, and fraud and scams prevention.
FINRA, the North American Securities Administrators Association and the SEC Office of Investor Education and Advocacy urged investors doing business with a financial firm to name one or more trusted contacts.