Join us for part four of our live webcast series about creating a best-in-class compliance program.
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
This case should give pause to firms of all sizes to evaluate what they are doing to proactively detect potential market abuse on their own.
The SEC recently voted to adopt new rules and amendments, known as the Private Fund Reform Rule. Here's a summary of the new rules and how they changed from the original proposals.
The FCA has asked politically exposed persons to share their experiences with regulated firms as part of the regulator's review of firms’ treatment of PEPs.
- AML and Financial Crime
The SEC’s recent vote to adopt the Private Fund Reform Rule (IA-5955) presents some of the most significant private funds regulatory reform since the Dodd Frank Act. Read our summary of the Final Rules and our guidance for firms.
- Private Fund
The public has weighed in on the SEC's proposed Rule 206(4)-9, which sets cybersecurity risk management expectations for investment firms. In this guide, we discuss the industry's reaction, exploring the main areas of concern for the Rule.
Private Fund Reform Rule Deep Dive - Restricted Activities and Limitations to Preferential Treatment
This webcast will break down the restricted activities and limitations to preferential treatment established by the SEC's Private Fund Reform Rule.
Learn how technology can help you streamline the Best Execution review process and meet regulatory requirements.