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Only a month into the brand new administration, key shifts in SEC oversight, enforcement, and regulatory priorities are already taking form. With President Trump again in workplace and Mark Uyeda named as the brand new performing SEC Chair, monetary corporations should put together for an evolving regulatory agenda and enforcement methods.
What does this imply for advisors, RIAs, broker-dealers, and personal funds? How quickly will these adjustments take impact, and the way ought to your groups adapt?
Be a part of our panel of regulatory specialists and practitioners for a deep dive into the administration’s first 30 days and the way monetary companies corporations could also be impacted.
Key takeaways:
● Regulatory shifts within the administration’s first month
● Regulatory proposals to look at—which guidelines are probably to advance?
● Shifts in enforcement priorities and what they imply for compliance groups and packages
Don’t miss this well timed dialogue on the evolving regulatory panorama and the way your agency can proactively put together.
Featured Audio system:
Jamila Mayfield | Chief Regulatory Providers Officer | COMPLY
Jamila Mayfield joined COMPLY in 2024 because the Chief Regulatory Providers Officer, main COMPLY’s consulting companies arm. Along with her intensive regulatory expertise, which spans over 20 years, Jamila will drive the strategic progress of the worldwide consulting and schooling group. Moreover, she is going to work cross-functionally with product, gross sales, and advertising to combine COMPLY’s professional companies into the COMPLY platform, delivering true end-to-end compliance program administration options for monetary companies organizations.
Mederic Daigneault | VP, Personal Fund Advisory Consulting | COMPLY
For greater than 20 years, Mederic has endorsed companies and establishments on regulatory monetary companies issues. His shoppers embrace nationwide and worldwide monetary companies corporations, comprising funding advisers, personal fund managers (together with hedge fund and personal fairness fund managers), multifamily workplaces, and broker-dealers. Med has intensive expertise partnering along with his shoppers to establish their regulatory necessities, conflicts of curiosity, and dangers to help within the growth, implementation, and testing of compliance packages and supervisory buildings. He works carefully along with his shoppers on issues regarding compliance with securities legal guidelines and laws, helping with SEC examinations, and resolving materials compliance deficiencies and violations.
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