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In many instances, the Dodd-Frank Wall Street Reform and Consumer Protection Act
merely set a framework for financial reform and left much of the heavy lifting
to the financial regulatory agencies. The SEC published their agenda for the implementation of Dodd-Frank.
It is a long list. Compliance leaders are going to very
busy keeping track of the new regulations. The hard part is then figuring out
how to implement them and get in compliance by the July 21, 2011 deadline set
by the law.
Here is what the SEC wants to address in the next three
October - December 2010 (planned)
Oversight of Investment Advisers
Clearing & Settlement
Corporate Governance & Disclosure
Hopefully there won't be a sacrifice of quality giving
that they need to deal with such a large quantity of new regulations.
additional commentary on developments in compliance and ethics, visit Compliance Building,
a blog hosted by Doug Cornelius.