Regulatory Compliance
A trusted financial system depends on smart, effective regulation. SIFMA collaborates with regulators and member firms to modernize compliance frameworks, ensuring they are practical, risk-based, and aligned with today’s technology.
We advocate for rules that uphold investor protection while enabling innovation—on issues like communications retention, e-delivery, and Regulation Best Interest. Through analysis, coordination, and industry leadership, SIFMA helps firms navigate complex regulatory changes and maintain compliance in a dynamic market environment.
SIFMA Consolidated Audit Trail (CAT) Reform Recommendations
In this episode of The SIFMA Podcast, SIFMA President and CEO Kenneth E. Bentsen, Jr., is joined by colleague Joe Corcoran, Managing Director and Associate General Counsel, to discuss SIFMA’s recommendations to the Securities and Exchange Commission on how to reform the Consolidated Audit Trail, or the CAT.
Loading...