Richard Satran

1 month ago | compliancecorylated.com | Niece Prayoonrat |Rachel Wolcott |Richard Satran |Elizabeth Lumley

Acting US Securities and Exchange Commission (SEC) chairman Mark Uyeda has hit pause on proposed rules covering safeguarding of advisory client assets and outsourcing by investment advisers. The SEC may re-propose aspects of the recently adopted Form N-PORT, he said in a speech at the 2025 Investment Management Conference on March 17. Uyeda called for a back-to-basics approach to SEC rulemaking which would give ample time to solicit industry feedback and weigh the cost of any new rule.

1 month ago | compliancecorylated.com | Richard Satran |Rachel Wolcott |Niece Prayoonrat |Elizabeth Lumley

State attorneys general have emerged as one of the biggest checks on presidential power after winning a series of US court rulings challenging Donald Trumpʼs executive orders. Financial firms who were expecting an easier time from the new administration instead face more forceful regulators in all 50 states.