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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U.S. Regulatory Update – February 2024

This update covers new rules for asset-backed securities transactions, tips for filing Form ADV, FINRA's new rules for home offices and the remote office inspection program, the Corporate Transparency Act, and more.

Newsletter
  • Compliance
  • SEC
  • FINRA
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The FCA Proposes a New Approach to Publicise Investigations

The FCA’s recent proposal to publicise investigations should prompt investment firms to take a fresh look at compliance culture, platforms and testing.

Compliance Alert
  • FCA
  • Compliance
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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.

Compliance Alert
  • Compliance
  • FINRA
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8 Steps CCOs Should Take Now to Prepare for AI Regulation

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.

Article
  • Compliance
  • Cybersecurity
  • Artificial Intelligence (AI)
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Form PF 2.0: Significant Amendments Implemented by the SEC and CFTC

The SEC and CFTC recently adopted amendments to Form PF that help monitor systemic risk and bolster oversight of private fund advisers.

Compliance Alert
  • Compliance
  • SEC
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SMS Message Rates May Apply: SEC Fines 16 Firms $81 Million for Recordkeeping Failures

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.

Compliance Alert
  • SEC
  • eComms Surveillance
  • Compliance

Events