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Regulatory Perspectives

Blog: 2023 Regulatory Priorities from SEC & FINRA – Key Takeaways for Compliant Communications

By February 16, 2023February 27th, 2023No Comments
2023 Regulatory priorities from SEC FINRA by Stacey English 1

At a Glance

Both the SEC and FINRA have announced their examination priorities for 2023 giving investment advisers and broker dealers important insight into the areas to include in their compliance monitoring plans. For those tasked with maintaining compliance, security and data privacy across an organization’s unified communications there are specific areas to focus on to ensure the continuing deployment and use of platforms meet regulatory expectations, including:

  • Cybersecurity and protecting sensitive customer information or confidential firm data from being exposed.
  • Establishing effective information barriers and controls to prevent information leakage and the misuse of material, MNPI.
  • Monitoring for new communications methods and retaining all correspondence by staff conducting firm business.
  • Being able to identify communications containing ‘false, misleading, or promissory statements or claims’, customer complaints, Form CRS and disclosures.
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Stacey English

Author Stacey English

Stacey English is Director of Regulatory Intelligence for Theta Lake. She has over 25 years' experience in financial services regulation and technology as a former regulator at the now FCA and as a risk and compliance practitioner in global banks and insurers. She formerly led Regulatory Intelligence for Thomson Reuters providing regulatory and industry insight to financial services firms. Stacey is also a qualified accountant, a published author on conduct and accountability and an Honorary Fellow of Cambridge Judge Business School providing expert guidance on regulation. Linkedin

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