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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Tip for Updating Your Compliance Program: Enhanced Proxy Voting Requirements

New SEC rules require standardized categorization, machine-readable filing, and sharing of mutual fund proxy votes and shares, with say-on-pay votes reported on Form N-PX by institutional investment managers worth $100 million or more only if they vote.

Article
  • Compliance
  • SEC
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U.S. Regulatory Update – May 2023 Edition

This update includes insights on the third SEC Bulletin on Reg BI and Fiduciary Standard of Care, Ransomware Reminders, New N-PX Reporting, and the looming FTC Safeguards Rule.

Newsletter
  • Compliance
  • SEC
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Should Broker-Dealers That Accept Hard Dollars for Research from EU Money Managers Register as Investment Advisers?

With the SEC's no-action letter temporary relief coming to an end, broker-dealers who accept hard dollar payments for research from EU/UK asset managers must carefully evaluate their registration options to comply with the Investment Advisers Act of 1940.

Article
  • Compliance
  • SEC
  • Broker-Dealer
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Tips for Updating Your Compliance Program: SEC Exam Observations Risk Alert

The SEC is focusing on private funds and issued a risk alert in January 2022 outlining common deficiencies observed during private fund exams. Private fund managers should review their compliance programs to avoid these deficiencies.

Article
  • Compliance
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Managing the Risk of Large Language Models Like ChatGPT

Discover ways to leverage the power of LLMs like ChatGPT while protecting your organization from risks like privacy breaches, IP concerns, and quality control issues.

Article
  • Cybersecurity
  • Compliance
  • Artificial Intelligence (AI)
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Tips for Updating Your Compliance Program: Form CRS

We’ve compiled a series of tips to help you focus on the U.S. Securities and Exchange Commission (SEC) focus areas for 2023.

Article
  • Compliance
  • SEC

Events