Compliance Alert
Prepare for the FCA’s 2027 incident reporting rules with stronger governance, escalation, testing, and operational resilience.
Article
Cybersecurity, FCA, Operational Resilience
Node2Shell affects Node.js Brotli decompression. Learn which releases require patching and steps firms should take to reduce risk.
Cyber Alert
Business Continuity, Cybersecurity, Operational Resilience
Learn when private fund managers need specialized investment performance support beyond fund administration for reporting, fundraising, and investor requests.
Article
Investment Performance, Investor Reporting, Private Funds
SEC approved FINRA Rule 2210 amendments permit limited use of performance projections and targeted returns in broker-dealer communications.
Compliance Alert
Broker-Dealer, FINRA, Private Funds, SEC
The FCA’s SM&CR proposals would reduce prescription, but not firms’ responsibility for accountability, competence, or Conduct Rule awareness.
Compliance Alert
Conduct Rules, FCA, SM&CR
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