K. Susan Grafton

Dec 18, 2023 | jdsupra.com | David Bartels |K. Susan Grafton |Anthony Kelly

The SEC’s Division of Examinations (EXAMS) published its report on 2024 Examination Priorities on October 16, 2023. The 2024 Examination Priorities continue to reflect an examination program that is vigorous and broad in its focus.

Dec 18, 2023 | lexology.com | David Bartels |K. Susan Grafton |Anthony E. Kelly |Mark D. Perlow |Robert J. Rhatigan |Michael McGrail | +1 more

ONPOINT / A legal update from Dechert's Financial Services GroupSEC Division of Examinations Releases 2024 PrioritiesAuthored by David P. Bartels, K. Susan Grafton, Anthony S. Kelly, Mark D. Perlow, Robert J. Rhatigan, Elise Kletz, and Michael McGrail December 2023 Dechert LLPSEC Division of Examinations Releases 2024 PrioritiesDecember 2023 / Authored by David P. Bartels, K. Susan Grafton, Anthony S. Kelly, Mark D. Perlow, Robert J.

Sep 7, 2023 | jdsupra.com | K. Susan Grafton |Jennifer O'Brien |Mark D. Perlow

Key Takeaways The SEC has proposed new rules designed to regulate potential conflicts of interest associated with broker-dealers’ and investment advisers’ use of certain AI-related technologies in their interactions with investors.

May 25, 2023 | jdsupra.com | K. Susan Grafton |Mark D. Perlow |Austin McComb

The Financial Stability Oversight Council on April 21, 2023, released for public comment a proposed analytic framework for financial stability risk identification, assessment and response (Proposed Framework)1 and proposed interpretive guidance on nonbank financial company determinations (Proposed Guidance) (together, Proposals).2 The Proposals would work in concert to alter the processes by which FSOC designates nonbank financial companies (nonbanks) as “systemically important financial...

May 11, 2023 | jdsupra.com | Hilary Bonaccorsi |Kevin Cahill |K. Susan Grafton

At an open meeting on March 15, 2023, the U.S. Securities and Exchange Commission voted three to two1 to propose a new rule, form and amendments (together, “Proposed Rule”) and published an accompanying release (“Release”)2 regarding recordkeeping requirements relating to cybersecurity for broker-dealers, clearing agencies, major security-based swap participants (“MSBSPs”), the Municipal Securities Rulemaking Board, national securities associations, national securities exchanges,...