SEC’s 2024 Regulatory Focus

The SEC remains aggressive on rules, exams and enforcement, but its pace of rulemaking has slowed somewhat due to legal challenges, said ACA Group (ACA) global advisory leader Carlo di Florio. This article synthesizes insights delivered by di Florio and his ACA colleagues during a firm program on top-of-mind regulatory issues for investment advisers and broker-dealers. The topics covered included AI, off-channel communications, cybersecurity, compliance technology, and environmental, social and governance investment. See “SEC Director Offers Clarification on New Cyber Disclosure Regime” (Jan. 3, 2024).

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