Regulatory References

Compliance is all about change.  Changing regulatory landscapes can change regulatory requirements making corresponding shifts in compliance necessary to reduce associated risks.  We closely monitor the regulatory landscape and follow the actions of primary financial regulators to ensure the KeVer Online Review System (KORS) reflects current regulatory requirements of these financial regulatory and continues to address the unique needs of firms operating in the financial services environment.

U.S. Securities & Exchange Commission

US Securities and Exchange Commission Logo

The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. To achieve this, the SEC requires public companies to disclose meaningful financial and other information to the public. This provides a common pool of knowledge for all investors to use to judge for themselves whether to buy, sell, or hold a particular security. Only through the steady flow of timely, comprehensive, and accurate information can people make sound investment decisions.

Financial Crime Enforcement Network

Financial Crime Enforcement Network Logo

FinCEN is a bureau of the U.S. Department of the Treasury. The Director of FinCEN is appointed by the Secretary of the Treasury and reports to the Treasury Under Secretary for Terrorism and Financial Intelligence. FinCEN’s mission is to safeguard the financial system from illicit use and combat money laundering and promote national security through the collection, analysis, and dissemination of financial intelligence and strategic use of financial authorities.

Municipal Securities Rulemaking Board

Municipal Securities Rulemaking Board

The MSRB protects investors, municipalities, and the public by fostering a level and organized municipal market, the regulation of firms engaged in municipal securities and advisory activities. It accomplishes this by running programs, which protect market participants as well as promote market transparency.

Financial Industry Regulation Authority

Financial Industry Regulation Authority Logo

FINRA focuses on investor protection and market integrity. It accomplishes this by regulation of the securities industry. FINRA is not a government agency but is an Congressionally authorized non-profit and independent agency whose purpose is to protect American investors by helping to ensure fairness and honesty. It achieves these goals through the writing and enforcement rules of governance for securities firms, reviewing firms’ adherence to compliance, encouraging a transparent market and through investor education.

United States Department of Labor – Employee Benefits Security Administration

US Department of Labor Logo

The mission of the Employee Benefits Security Administration is to assure the security of the retirement, health and other workplace related benefits of America’s workers and their families. We will accomplish this mission by developing effective regulations; assisting and educating workers, plan sponsors, fiduciaries and service providers; and vigorously enforcing the law.