Home Capital Market United States SEC Releases Draft 5 Year Strategic Plan with 3 Key...

United States SEC Releases Draft 5 Year Strategic Plan with 3 Key Goals: Protect Investors from Fraud, Enhance Regulatory Framework, Support Skilled SEC Workforce

Aug 26, 2022

United States Securities & Exchange Commission (SEC) Chair Gary Gensler Wide — United States Securities & Exchange Commission (SEC) Chair Gary Gensler

Caproasia.com | The leading source of data, research, information & resource for financial professionals, investment managers, professional investors, family offices & advisors to institutions, billionaires, UHNWs & HNWs. Covering capital markets, investments and private wealth in Asia. How do you invest $3 million to $300 million? How do you manage $20 million to $3 billion of assets? Caproasia - Learn more

2025 Summits in Hong Kong & Singapore
Investment / Alternatives Summit - March / Oct / Nov
Investment Day - March / July / Sept / Oct / Nov
Private Wealth Summit - April / Oct / Nov
Family Office Summit - April / Oct / Nov
View Events | Register

This site is for accredited investors, professional investors, investment managers and financial professionals only. You should have assets around $3 million to $300 million or managing $20 million to $30 billion.

United States SEC Releases Draft 5 Year Strategic Plan with 3 Key Goals: Protect Investors from Fraud, Enhance Regulatory Framework, Support Skilled SEC Workforce

26th August 2022 | Hong Kong

The United States Securities & Exchange Commission (SEC) has released the new 4 year draft strategic plan (2022 to 2026) for public comments with 3 key goals: To protect investors from fraud (including manipulation & misconduct), To enhance regulatory framework (keep pace with evolving markets, business models & technologies), and To support a skilled SEC workforce. The United States SEC oversees more than $100 trillion capital markets (38% of capital markets worldwide), $118 trillion in U.S. equity markets, $2.8 trillion in exchange-traded options, $237 trillion in fixed income. The United States SEC also oversees the activities of 29,000 registered entities (including investment advisers, mutual funds, exchange-traded funds, broker-dealers ,transfer agents), 24 national securities exchanges, 9 credit rating agencies, 7 active registered clearing agencies (Public Company Accounting Oversight Board (PCAOB), the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), the Securities Investor Protection Corporation (SIPC), and the Financial Accounting Standards Board (FASB)). United States SEC Chair Gary Gensler: ”We can’t take our leadership in capital markets for granted. Technology and business models always are changing, and it is important for our agency to evolve in kind. Through the goals we’ve laid out in this strategic plan, we will continue to bring a skilled and steady hand to the capital markets of a changing world. We look forward to reviewing public comments.” View United States SEC Strategic Plan 2022 to 2026

“ United States SEC Releases Draft 5 Year Strategic Plan with 3 Key Goals: Protect Investors from Fraud, Enhance Regulatory Framework, Support Skilled SEC Workforce “

- Article continues below -

Sign Up
Basic Member: $5 Monthly | $60 Yearly
Newsletter Daily 2 pm (Promo): $20 Monthly | $180 Yearly (FP: $680)

The 2025 Investment Day
Hong Kong | Singapore
March / July / Sept / Oct / Nov
Private Equity, Hedge Funds, Boutique Funds, Private Markets & more. Join 20+ CIOs & Senior investment team, with > 60% single family offices with $300 million AUM. Taking place in Hong Kong and in Singapore. Every March, July, Sept, Oct & Nov.
Visit | Register here

The 2025 Family Office Summit
10th April & 16th Oct Hong Kong St Regis | 17th April & 6th Nov Singapore Amara Sanctuary Resort
Join 80 single family offices & family office professionals in Hong Kong & Singapore
Links: 2025 Family Office Summit | Register here

2025 Investment / Alternatives Summit
March / Oct / Nov in Hong Kong & Singapore
Join leading asset managers, hedge funds, boutique funds, private equity, venture capital & real estate firms in Hong Kong, Singapore & Asia-Pacific at the Investment / Alternatives Summit. Join as delegate, speaker, presenter, partner & sponsor.
Visit | Register here

2025 Private Wealth Summit
April / Oct / Nov in Hong Kong & Singapore
Join CEOs, CIOs, Head of Private Banking, Head of Family Offices & Product Heads at The Private Wealth Summit. Join as delegate, speaker, presenter, partner & sponsor.
Visit | Register here

United States SEC Members

United States Securities & Exchange Commission (SEC) Chair Gary Gensler

The members of the Commission act jointly to set and enforce the rules that govern the securities markets and its participants. The Chair is responsible for overseeing the executive and administrative functions of the agency. This includes supervision over approximately 4,500 staff members who are organized into 6 divisions and 25 offices located in the Washington, DC, headquarters and 11 regional locations.

The draft strategic plan establishes 3 primary goals:

Protecting working families against fraud, manipulation, and misconduct;
Developing and implement a robust regulatory framework that keeps pace with evolving markets, business models, and technologies; and
Supporting a skilled workforce that is diverse, equitable, inclusive, and is fully equipped to advance agency objectives.

Among the initiatives to meet these goals, the SEC intends to enhance the use of market and industry data to prevent, detect, and prosecute improper behavior. The SEC also seeks to modernize design, delivery, and content of disclosures to investors so they can access consistent, comparable, and material information while making investment decisions.

The agency aims to update existing SEC rules and approaches to reflect evolving technologies, business models, and capital markets. To support its diversity and inclusion efforts, the SEC will focus on recruiting, training, and retaining staff with the right mix of skills, experience, and expertise.

The draft plan was prepared in accordance with the Government Performance and Results Modernization Act of 2010, which requires federal agencies to outline their missions, planned initiatives, and strategic goals for a four-year period.

Managing $20 million to $3 billion. Investing $3 million to $300 million.
For Investment Managers, Hedge Funds, Boutique Funds, Private Equity, Venture Capital, Professional Investors, Family Offices, Private Bankers & Advisors, sign up today. Subscribe to Caproasia and receive the latest news, data, insights & reports, events & programs daily at 2 pm.

Join Events & Find Services
Join Investments, Private Wealth, Family Office events in Hong Kong, Singapore, Asia-wide. Find hard-to-find $3 million to $300 million financial & investment services at The Financial Centre | TFC. Find financial, investment, private wealth, family office, real estate, luxury investments, citizenship, law firms & more. List hard-to-find financial & private wealth services.

Have a product launch? Promote a product or service? List your service at The Financial Centre | TFC. Join interviews & editorial and be featured on Caproasia.com or join Investments, Private Wealth, Family Office events. Contact us at [email protected] or [email protected]

Caproasia.com | The leading source of data, research, information & resource for financial professionals, investment managers, professional investors, family offices & advisors to institutions, billionaires, UHNWs & HNWs. Covering capital markets, investments and private wealth in Asia. How do you invest $3 million to $300 million? How do you manage $20 million to $3 billion of assets?

Quick Links

2021 Data Release
2020 List of Private Banks in Hong Kong
2020 List of Private Banks in Singapore
2020 Top 10 Largest Family Office
2020 Top 10 Largest Multi-Family Offices
2020 Report: Hong Kong Private Banks & Asset Mgmt - $4.49 Trillion
2020 Report: Singapore Asset Mgmt - $3.48 Trillion AUM

For Investors | Professionals | Executives
Latest data, reports, insights, news, events & programs
Everyday at 2 pm
Direct to your inbox
Save 2 to 8 hours per week. Organised for success

Register Below

For CEOs, Heads, Senior Management, Market Heads, Desk Heads, Financial Professionals, Investment Managers, Asset Managers, Fund Managers, Hedge Funds, Boutique Funds, Analysts, Advisors, Wealth Managers, Private Bankers, Family Offices, Investment Bankers, Private Equity, Institutional Investors, Professional Investors

Get Ahead in 60 Seconds. Join 10,000 +
Save 2 to 8 hours weekly. Organised for Success.

Sign Up / Register

Web links may be disabled on mobile for security.
Please click on desktop.

New to Caproasia
Learn More | Sign Up | Subscribe | Register Events

Caproasia Users

Manage $20 million to $3 billion of assets
Invest $3 million to $300 million
Advise institutions, billionaires, UHNWs & HNWs

Caproasia Platforms | 11,000 Investors & Advisors

Monthly Roundtable & Networking

Family Office Programs

The 2024 Investment Day

March 2024 - Hong Kong
March 2024 - Singapore
July 2024 - Hong Kong
July 2024 - Singapore
Sept 2024 - Hong Kong
Sept 2024 - Singapore
Oct 2024 - Hong Kong
Nov 2024 - Singapore
Visit: The Investment Day | Register: Click here

Caproasia Summits

Contact Us

For Enquiries, Membership
[email protected], [email protected]

For Listing, Subscription
[email protected], [email protected]

For Press Release, send to:
[email protected]

For Events & Webinars
[email protected]

For Media Kit, Advertising, Sponsorships, Partnerships
[email protected]

For Research, Data, Surveys, Reports
[email protected]

For General Enquiries
[email protected]

Caproasia | Driving the future of Asia
a financial information technology co.
since 2014