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Insights

Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

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ESG alerts and insights

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Insights and alerts related to the SEC's new Marketing Rule

Guidance and insights on regulatory proposals, enforcements, and risk alerts

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Newly Discovered Phishing Campaigns Evade Anti-Malware Systems

Two new phishing tactics have successfully evaded anti-malware systems: PY#RATION and Blank Image Attacks.

Cyber Alert
  • Cybersecurity
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The PRI Announces the Release of their 2023 Reporting Framework

The updated framework aims to incorporate signatory feedback from the 2021 Pilot Program.

Compliance Alert
  • ESG
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Is Your Organization’s Privacy Program Equipped to Tackle the Road Ahead?

January 28th is Data Privacy Day, a reminder that organizations should review their privacy obligations.

Article
  • Cybersecurity
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What the SEC’s Increased ESG Focus Means For You

Environmental, Social, and Governance (ESG) considerations are a growing priority for regulators. We review recent trends and areas of focus in SEC examinations.

Article
  • ESG
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How Will the Economic Downturn Impact Compliance Teams?

We examine how 2022's economic downturn impacted compliance companies, and explore how changing market conditions can create opportunities for new efficiencies.

Article
  • Compliance
  • Managed Services
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U.S. Regulatory Update – January 2023 Edition

We discuss the latest Risk Alert from the SEC’s Division of Examinations, the DOL’s change of heart on ESG for plan investments, and the SEC’s rule proposals to change the equity markets.

Newsletter
  • Compliance
  • ESG
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2023 FINRA Regulatory Filings Calendar for Broker-Dealers

Prepare for the year ahead with our calendar of key FINRA regulatory filing deadlines in addition to other responsibilities at a glance to help you track your firm’s regulatory obligations.

Article
  • Regulatory Deadlines
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Why Building and Maintaining Robust Compliance Programs Has Become Increasingly Important for ERAs

As fiduciaries become increasingly subject to SEC inspection, ERAs should consider adopting compliance policies and procedures relevant to their operations to mitigate regulatory risks.

Article
  • Compliance
  • SEC
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SEC Cybersecurity Rule 206(4)-9 Expected to Be Finalized in April 2023

The SEC’s rule will establish new requirements for firms’ cybersecurity programs while strengthening investors’ confidence in the security of their investments.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
  • SEC
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The SEC Plans to Finalize ESG-Related Rules in 2023

The SEC's Regulatory Flexibility Agenda outlines another ambitious year of ESG rulemaking, which will impact many aspects of the U.S.'s financial markets and its investors.

Compliance Alert
  • ESG
  • SEC