SEC exam outlook explained in new op-ed, plus podcast rewind (Real Assets Adviser)

Founder and President Amy Lynch’s BoardRoom blog piece, “Inside the mind of the SEC” has been published as an op-ed feature by Real Assets Adviser, appearing in its magazine’s April 2023 issue. Originally produced by FrontLine Compliance, the article is written from the perspective of Ms. Lynch, a former regulatory insider and now the head of a leading compliance consultancy. She explores the history of the SEC’s examination program and describes the challenges faced by the regulator to meet its new examination and rulemaking objectives. Also previously interviewed exclusively for a related Real Assets Adviser industry podcast, here Ms. Lynch discusses the SEC’s current regulatory agenda and rulemaking initiatives. She provides insight on what the industry can soon expect from the SEC’s oversight of ESG, its new Marketing Rule and private funds. Ms. Lynch also reviews the recent Custody Rule proposal and its relevance for the cryptocurrency industry. Finally, she goes into depth about the SEC’s rulemaking process and the lengthy steps the regulator takes to rule finalization, including conducting exams to ensure compliance.

Read the Real Assets Adviser Magazine, Market View feature, “Inside the mind of the SEC,” by Amy Lynch

Listen to the Real Assets Adviser Podcast, “Inside the mind and actions of the SEC,” with guest Amy Lynch