Regulatory Update: Recent Speeches from the SEC’S Office of Compliance Inspections and Examinations and FINRA

Nov. 2010


2010 marks an unprecedented year for the world of compliance. Before the passage of
the Dodd-Frank Act,1 investors were demanding transparency and increased compliance
controls. Regulatory examinations increased and the number of firms going to
enforcement surged. In response, advisory firms implemented and enhanced efforts of
risk management committees, which in many cases resulted in increased compliance staff
or outsourcing to law firms or consultants. With over 100 new regulations being
promulgated as a result of Dodd-Frank, firms are grasping for solutions on how to best
stay on-top of these new regulations in a cost-efficient manner.


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