Treliant Takeaway

Treliant Takeaway

Treliant Takeaway…SEC Division of Examination Risk Alert: Continued Focus on Digital Currencies for Broker-Dealers and Registered Investment Advisers

March 3, 2021

Treliant Takeaway

Treliant Takeaway…NYDFS Cybersecurity Fraud Alert

February 18, 2021

Treliant Takeaway

Treliant Takeaway…Cybersecurity Insurance Risk Framework

February 5, 2021

Treliant Takeaway

Treliant Takeaway…FINRA Announces 2021 Report on Its Examination and Risk Monitoring Program

February 2, 2021

Treliant Takeaway

Treliant Takeaway…Impact of President Biden’s Nomination of Gary Gensler to Chair the SEC and the Appointment of Commissioner Lee to be the Acting SEC Chair

January 28, 2021

Treliant Takeaway

Treliant Takeaway…SEC Risk Alert OCIE Observations on Investment Adviser Compliance Programs

January 19, 2021

Treliant Takeaway

Treliant Takeaway…OCC Issues Fair Access Rule

January 15, 2021

Treliant Takeaway

Treliant Takeaway…SEC Insights into the Role of the CCO

January 14, 2021

Treliant Takeaway

Treliant Takeaway…CFPB Issues Consent Order for Violations of MLA and EFTA

January 12, 2021