Compliance.Network Podcast
Based in South Florida since 2014, Compliance.Network brings a unique and diverse expertise to the financial and regulatory industries. Representing local and international clients throughout Latin America, Compliance.Network is the gateway to the Americas for foreign, financial institutions that have a presence in the U.S. or strive to establish one. When your firm partners with our team of experts, you will be free to dedicate more time and effort to growing your business. You will feel peace-of-mind, knowing that your regulatory matters are in the accomplished hands of our incomparable professionals.
Compliance.Network Podcast
Ep #4: SEC Regulation and Digital Finance
Want to uncover the critical shifts in financial regulation and compliance that are shaping 2024? Join us as we dissect the Securities and Exchange Commission's latest enforcement priorities and their implications for the financial services industry. With transparency at the forefront, Jeremy Wolf and I, Kevin Rowe, guide you through the SEC's steadfast focus on changes to the marketing rule, ESG disclosures, and the pressing issues of cybersecurity protocols. As digital assets take center stage, hear how the SEC's firm stance on cryptocurrency and initial coin offerings is shaping the future of digital finance. We promise a comprehensive overview that will not only inform but also prepare you for the regulatory hurdles ahead.
As we navigate the intricate web of Regulation Best Interest and fiduciary responsibilities, the narrative extends beyond mere compliance. Discover how recent rule changes are stacking up, creating a landscape that demands agility and rapid adaptation from financial firms. The conversation sheds light on the dynamic evolution brought about by new rules, such as changes to residential supervisory locations and cybersecurity measures. With the SEC's roadmap as our guide, we unpack how these developments affect investment advisors and broker-dealers alike, paving the way for a more transparent and secure financial environment. Don't miss out on this crucial episode packed with insights and strategies to stay ahead in the compliance game.
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