Present and Former Regulators Discuss Current SEC and NFA Examination and Enforcement Environment

Cybersecurity remains firmly on the government’s radar, a panel of current and former regulators from the NFA and SEC stated at the 2019 National Conference of the National Society of Compliance Professionals. The panelists discussed the NFA’s focus on commodity pool operator internal controls, the SEC’s regulatory issues and priorities, notable examination experiences, compliance programs, regulatory resources, responsible investing and common issues involving private funds. See “SEC Risk Alert Highlights Policy Design and Implementation Failures and Roadmaps Future Enforcement” (Apr. 24, 2019).

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