On June 12, 2025, the SEC withdrew most of its pending proposed rules affecting investment advisers, investment companies, and broker-dealers. This included a wide range...
The European Securities and Markets Authority (ESMA) released updates to its Data Quality Engagement Frameworks (DQEFs) offering firms rare visibility into how National Competent Authorities...
Firms must proactively prepare for regulatory exams and visits as part of their business-as-usual compliance strategy. SEC examinations tend to be comprehensive, complex, and demanding,...
Company: A multi-billion-dollar hedge fund specializing in alternative investments, managing a diverse portfolio across multiple asset classes. Location: United States Financial Services Sector: Investment Management...
Independent testing is a critical component of an effective anti-money laundering (AML) compliance program. It ensures that internal controls are operating as intended and that...
Greenwashing, the act of misrepresenting ESG and/or sustainability practices, whether intentionally or unintentionally, has been a trending topic in news stories. However, misleading claims are...