Join our team in Washington, D.C. at the IAA Investment Adviser Compliance Conference.
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
FINRA’s New Remote Branch Office Inspection Pilot Program and Residential Supervisory Location Designation
FINRA recently published a regulatory notice to revise the definition of an OSJ and how OSJs are supervised.
Without question, one of the hottest topics for firms over the past year has been the emergence and rapid adoption of Artificial Intelligence (AI)-based tools and technologies in the workplace. However, AI use is not without risk Read our recent blog outlining details of the regulatory response to AI use in financial services firms and get our 8 steps to better manage AI Risk.
- Artificial Intelligence (AI)
The SEC and CFTC recently adopted amendments to Form PF that help monitor systemic risk and bolster oversight of private fund advisers.
The SEC announced that it settled charges with 16 investment advisers and broker-dealers alleging that the firms failed to maintain required electronic records. Learn more and get our tips for how to proactively strengthen your compliance program in our recent alert.
- eComms Surveillance
On February 6, 2024, the Securities and Exchange Commission’s (SEC) Division of Investment Management released a new Frequently Asked Question (FAQ) clarifying requirements around gross and net performance obligations for Internal Rates of Returns (IRR) often seen in the private markets space. Read our alert to understand the key details.
- SEC Marketing Rule
- Private Fund
The Adviser-led Secondaries Rule requires advisers to obtain an independent fair or valuation opinion while the Annual Fund Audits Rule requires advisers to obtain audits of their private funds annually and upon liquidation.
Our experts will discuss the shifting market and regulatory landscape, providing invaluable insights for asset managers navigating this new data-driven reality.
This webcast will identify key challenges asset managers face with ESG monitoring, outline emerging regulatory requirements, and highlight the key features of our ACA Ethos solution that solve for these issues.