Nancy is a founding Member at True West. She brings over 20 years of experience in the financial industry with a concentrated focus in regulatory compliance consulting for registered investment advisory firms. She has a passion for working with clients in developing their compliance programs and assists firms with building a true culture of compliance. Nancy strives to keep a simple and straightforward approach to running an efficient compliance program.
Staying Ahead: Key Compliance Updates for March
Although several changes are happening within the SEC, firms need to continue to stay proactive in managing compliance risks.
This month, our key topics include:
-
Marketing on Exams: The SEC continues to scrutinize advertising, a firm's training program, and compliance procedures.
- SEC Leadership Changes: A potential shift in priorities could impact enforcement and regulation.
- Cyber & Emerging Technology Oversight: The SEC’s new unit targets fraud, AI risks, and cybersecurity compliance.
- Compliance Manual Updates: Annual reviews and AI-related policies are more crucial than ever.
With regulatory expectations evolving, now is the time to review policies, enhance oversight, and ensure your firm is prepared. Read the full newsletter to stay ahead of the latest developments!
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