SEC Division of Examinations 2024 Examination…
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Articles, research and insights.
Article - 10 minutes read
Broker-Dealer Regulatory Briefing Q3 2020
Despite the COVID-19 pandemic disturbing many normal processes in 2020, regulators have adapted and continued their enforcement activity throughout the year. In this article, we’ve covered key SEC and FINRA enforcement trends observed in the third quarter of the year.
Article - 6 minutes read
Wealth Management: Offerings for Sustained Growth
How a shift away from the traditional brokerage model will force firms to explore non-traditional products and services.
Article - 5 minutes read
Now is the time to reimagine planning, budgeting, and forecasting
The current climate of increased uncertainty and volatility is pressing the case to take a fresh look at planning, budgeting and forecasting.
Event 02 Dec 2020
Sia Partners UK Female Case Workshop
Celebrating the next generation of female leaders
Research and Report - 2 minutes read
Strong Resilience of ESG Funds during the COVID crisis
What role did ESG criteria play in the market crisis context of the first half of 2020?
Article - 3 minutes read
Recognition and Responsibility: Two Ways to Nurture Proximity to Customers
On social media, brands have gone through the lockdown double-bind dilemma: how to nurture proximity while enforcing social distancing? Two key levers emerge from our Belgian study on brands and engagement on social media: responsibility and recognition. Discover the full results.