The SEC has launched a flurry of new proposals over the last 12-18 months to address a wide range of regulatory priorities. Looking through many of the recent proposals, there are distinct themes emerging that affect the wealth and asset management space.

In this series, we look at some of the heightened focus areas of the SEC that deal with conflicts of interest, enhancing consumer protections, increasing disclosure requirements, and alignment on ESG/climate reporting and investing policies.

Part 1 offers an overview of each proposal, or potential proposal, that wealth and asset management professionals should be aware of, while future segments will dive into more detail around how they affect both the industry as a whole and its members.