The SEC Strategic Plan outlines proposed improvements to the SEC’s operations, metrics to gauge the performance of its activities, and proposed self-funding for the agency. Highlights include SEC initiatives to strengthen regulation over financial institutions, including enhancing its oversight of investment advisers and broker-dealers through more frequent examinations and rulemaking. Additional initiatives detailed in the plan include:

• Supporting a requirement for advisers to hedge funds and other private pools of capital to register with the SEC
• Offering greater protections for investors in financial products from abuse, including expanding SEC authority over mutual fund disclosure
• Increasing risk-based examinations of financial firms
• Improving fraud detection techniques
• Expanding the scope and reach of Enforcement staff through streamlined procedures.

FrontLine Compliance, LLC is a regulatory compliance consulting firm of former high-level regulatory insiders offering customized services to broker-dealers, investment advisers, investment companies, hedge funds, and insurance company affiliates. Staffed by former SEC and FINRA regulators, and chief compliance officers, FrontLine Compliance provides the kind of industry knowledge, experience and expertise on regulatory issues only available from well-seasoned insiders. For more information about the firm, please visit www.frontlinecompliance.com.

FrontLine Compliance, LLC
phone: 888-518-8070
email: info@frontlinecompliance.com
www.frontlinecompliance.com
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