Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory compliance news and 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 regulatory compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
FINRA Alert Regarding Form BR for Residential Supervisory Locations
FINRA issued an alert to member firms advising them not to close or withdraw Form BRs for Residential Supervisory Locations
Compliance Alert
- Compliance
- FINRA
Q3 2024 Regulatory Reporting Deadlines
Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from July through September 2024.
Article
- Regulatory Deadlines
- Compliance
- SEC
- FINRA
- FCA
Exploring Pathways to Market into Europe
When establishing or expanding a business in the UK and/or across the EU, there are various paths you can take. We outline key points to consider before you embark on your new business journey.
Article
- Compliance
- FCA
- Mirabella
The Department of Labor’s Amended ERISA QPAM Exemption Goes Live June 17, 2024
The QPAM exemption suspends certain ERISA rules against conflicts of interest and self-dealing for advisers managing or advising assets of retirement plans or individual retirement accounts.
Compliance Alert
- Compliance
The ACA/NSCP AI Benchmarking Survey is Now Open
We partnered with NSCP to launch this inaugural survey to help you better understand how your peers are managing the risks and opportunities of AI.
Survey
- Compliance
- Cybersecurity
- Artificial Intelligence (AI)
The FCA Reminds Firms of the Importance of Data and Algorithmic Governance in Market Abuse Surveillance
In its Market Watch 79, the FCA issued a reminder to firms about the perils of data issues and poor algorithmic governance in tools used for market abuse surveillance.
Compliance Alert
- Compliance
- FCA
- Trade Surveillance
- RegTech
- ComplianceAlpha