Compliance Insights and Alerts

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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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Advisory Firm Settles Cherry Picking Fraud Charges With the SEC

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.

Compliance Alert
  • RegTech
  • ComplianceAlpha
  • SEC
  • Compliance
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SEC Private Fund Reform Rule: What Made the Cut

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.

Compliance Alert
  • Compliance
  • Performance
Symmetrical structures

The New TPF Regime: Treating Politicians Fairly?

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.

Compliance Alert
  • Compliance
  • AML and Financial Crime
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SEC Adopts Private Fund Rules – What Firms Should Know

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.

Compliance Alert
  • Compliance
  • SEC
  • Private Fund
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White Paper: Unveiling Industry Perspectives on the SEC’s Proposed Cyber Rule 206(4)-9

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.

Report
  • Cybersecurity
  • Compliance
  • SEC
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Regulatory Enforcement of Off-Channel Communications

The U.S. SEC has charged 11 financial firms for failing to maintain electronic communications, imposing penalties of over $289 million. This is part of a broader crackdown, with previous cases involving similar charges and penalties exceeding $1.5 billion, raising industry concerns about proper recordkeeping.

Compliance Alert
  • SEC
  • Compliance
  • RegTech
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Events

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