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February 16, 2024 at 10:01 AM
The Securities and Exchange Commission, the Financial Industry Regulatory Authority and other regulators are focusing in 2024 on some new areas — like artificial intelligence — as well as putting increased pressure on advisors and broker-dealers to step up their compliance with others, according to regulatory experts at ACA Group.
Carlo di Florio, Global Advisory Leader at ACA Group, summarized during the firm’s 2024 Regulatory Outlook webcast Wednesday the hot-button exam and enforcement priorities for regulators as well as lawmakers this year.
See the accompanying gallery for 10 hot 2024 topics for regulators, as described by di Florio and Francois Cooke, managing director in ACA Compliance Group’s Broker-Dealer Services division.
They also reminded listeners to focus on the regulators’ perennial priorities: conflicts of interest, insider trading, market manipulation, employee conduct, valuation, custody and vendor oversight.
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