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Podcast: Compliance Clarified – a podcast by Thomson Reuters Regulatory Intelligence
Episode: Season 7, Episode 4: “Tumult and change” and new rules shape U.S. SEC’s exam priorities this year
Description: The U.S. SEC’s annual list of examination priorities is a key document setting the agenda for financial services compliance professionals on Wall Street and Main Street.This year the regulator signals it will be examining investment advisers and broker-dealers in light of the “tumult and change” caused by geopolitical and economic events, as well as by rule changes it has imposed in recent years.In this episode, Randall Mikkelsen, managing editor for North America for Regulatory Intelligence, is joined by Jason Wallace, senior editor, to review the latest priorities list issued in February, and talk a...