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The Securities and Trade Fee, the Monetary Business Regulatory Authority and different regulators are focusing in 2024 on some new areas — like synthetic intelligence — in addition to placing elevated stress on advisors and broker-dealers to step up their compliance with others, in response to regulatory consultants at ACA Group.
Carlo di Florio, World Advisory Chief at ACA Group, summarized throughout the agency’s 2024 Regulatory Outlook webcast Wednesday the hot-button examination and enforcement priorities for regulators in addition to lawmakers this yr.
See the accompanying gallery for 10 sizzling 2024 subjects for regulators, as described by di Florio and Francois Cooke, managing director in ACA Compliance Group’s Dealer-Seller Providers division.
In addition they reminded listeners to deal with the regulators’ perennial priorities: conflicts of curiosity, insider buying and selling, market manipulation, worker conduct, valuation, custody and vendor oversight.
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