In reaction to industry trends in examination or enforcement activity, broker-dealers, investment advisers, and other wealth and asset managers periodically evaluate their compliance and supervisory programs, or aspects thereof, to determine whether their programs are adequately addressing compliance and supervisory risks.
We are anticipating an increase in regulatory scrutiny applied by the SEC, the CFTC, FINRA, and the NFA, through more comprehensive and thorough examinations, and a more aggressive enforcement regime. Firms should ensure that all aspects of their compliance and supervisory programs withstand this increased scrutiny.
KPMG Financial Services Regulatory and Compliance Risk practice supports its broker-dealer, investment adviser, other asset and wealth managers, and diversified financial services clients with comprehensive and targeted compliance and supervisory reviews, including, but not limited to, those related to or required under SEC and FINRA rules.
This article outlines our primary service offerings, including:
- Wide-ranging reviews
- Compliance support
- Targeted compliance assessment
- Targeted supervisory assessment