ACA Regulatory Outlook for 2024

“The SEC remains aggressive on rules, on exams, on enforcement,” but the pace of rulemaking has slowed somewhat due to legal challenges, said ACA Group (ACA) global advisory leader Carlo di Florio at the firm’s recent 2024 Regulatory Outlook program. Di Florio and his ACA colleagues covered top-of-mind regulatory issues for investment advisers and broker-dealers, including the new private fund rules; artificial intelligence; custody; off-channel communications; anti-money laundering compliance; Regulation Best Interest and other compliance concerns for broker-dealers; new regulatory requirements affecting registrants; cybersecurity; marketing; environmental, social and governance investment factors; U.K. developments; and compliance technology. This article synthesizes the key takeaways from the program. See “No Longer a Slap on the Wrist: SEC Penalties and Sentences on the Rise” (Mar. 23, 2023).

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