Keeping up with the SEC

Over the last few years, rule-making and enforcement under Chair Gensler has accelerated to a pace exceeding the aftermath of the 2008 financial crisis. There’s been plenty for firms to sink their teeth into, from new marketing rules, climate disclosures and cybersecurity to fund naming and dealer definition changes. And the regulator hasn’t shied away from cracking the whip when firms are found falling short.

Joined by our friends at Moses Singer, we discussed areas where SEC rulemaking and enforcement activity are presenting challenges for investment advisers, including:

  • books and records
  • non-disclosure agreements
  • outsourcing and third-party providers
  • artificial intelligence.

This event was ran prior to Bovill joining Ocorian and rebranding to Bovill Newgate.


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