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At the recent roundtable discussion, “SEC Regulatory and Enforcement Trends: How to Prepare for the SEC in 2020,” held at the Baker McKenzie Chicago office, our North America Financial Regulation & Enforcement team talked about what to expect from the Staff in 2020.

Drawing from their collective SEC regulatory and enforcement expertise and experience, the team focused on recent SEC releases, proposals and guidance concerning various topics, including:

  • conflicts of interest
  • proposed advertising and solicitation rules
  • Regulation Best Interest and cybersecurity
  • how best to prepare for expected SEC regulatory, examination and enforcement initiatives in the current environment
  • various state securities standards of care regulatory initiatives
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