Compliance Insights and Alerts

Compliance teams are constantly challenged to keep pace with ever-evolving regulatory change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.

As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest compliance trends, industry insights, risk alerts, and events.

Latest insights and alerts

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FINRA Maintenance Margin Requirements Become Effective May 22, 2024

FINRA’s amendments to Rule 4210 requires members to collect margin for each counterparty's excess mark or market loss related to covered agency transactions.

Compliance Alert
  • Compliance
  • FINRA
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Ten Advantages of Pursuing FCA Authorisation

We outline ten reasons why seeking FCA authorisation can bring benefits beyond compliance, including enhanced credibility, market access, investor confidence, and long-term sustainability.

Article
  • FCA
  • Compliance
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SEC Examinations Division to Evaluate Firms’ Readiness for T+1

The SEC Examinations Division issued a risk alert reminding broker-dealers, clearing agencies, and investment advisers of their new obligations in connection with the transition to T+1 settlement of certain securities transactions.

Compliance Alert
  • Compliance
  • SEC
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The FTC Safeguards Rule Amendments Becomes Effective May 13, 2024

Beginning May 13, 2024, amendments to the "Safeguards Rule” will require subject firms to report “notification events” to the FTC as soon as possible.

Article
  • Compliance
Will SM&CR Pass its own fit and proper test

Bundled Research Payments – Is It Really New, or Just Déjà Vu?

The FCA published Consultation Paper CP 24/7 introducing “payment optionality” for investment research.

Compliance Alert
  • Compliance
  • FCA
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2024 Investment Management Compliance Testing Survey Now Open

This survey, now in its 19th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.

Survey
  • Compliance

Events