Tsunami of new rules bears down on advisors

Aug 24th '23

With the U.S. Securities and Exchange Commission (SEC) preparing to approve a ‘tsunami’ of major proposals next year, financial firms must find a way to manage a huge amount of additional compliance work. [Tsunami of new rules bears down on advisors].


It’s not just advisors who will be pressed by the regulatory convergence that’s likely to result from SEC Chair Gary Gensler’s agenda. Brokerage firms and registered representatives also are bracing for compliance challenges.


CCOs are really under the gun,” said Bernadette Murphy, managing director at compliance firm Vigilant. “They can’t keep up with the regulatory environment. It’s not something you can do between phone calls. The biggest challenge will be for smaller firms.


Source: Investment News


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