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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Enhanced Disclosures Proposed for Order Execution Information

The SEC's proposed updates would expand the scope of entities subject to Rule 605, modify the reporting information it requires, and change how its orders are categorized.

Compliance Alert
  • Compliance
  • SEC
Symmetrical structures

Tips for Updating Your Compliance Program: Identity Theft Red Flag Rule

Regulation S-ID, the “Identity Theft Red Flag Rule,” requires financial institutions to implement and administer a written program designed to detect, prevent, and mitigate identity theft for customers with “covered accounts.”

Article
  • Compliance
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U.S. Regulatory Update – March 2023 Edition

This month's update has tips for creating a strong ADV annual amendment, adhering to the SEC's 2023 exam priorities, and more. We share our unique insights and guidance, and include a list of important dates for the month of March.

Newsletter
  • Compliance
  • SEC
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Feeling Your Pain: Advice for Updating Form ADV

With the deadline for many investment advisers to file their annual Form ADV coming March 31st, we tackle some of the most challenging questions and share guidance for easing the process.

Article
  • SEC
  • Compliance
building

Tip for Updating Your Compliance Program: Marketing Rule Compliance

The SEC has stated that future examinations will include a focus on compliance with the new Marketing Rule. We share our guidance for preparing and updating your firm's compliance program.

Article
  • Compliance
Bank

Silicon Valley Bank, Signature Bank, and Silvergate Bank: Responding to Market Disruption with a Stronger Compliance Program

Six key areas your firm should focus on now: the decisions that compliance professionals make this week after recent bank collapses will have important implications for their firms, the clients that they serve, and the capital markets generally.

Compliance Alert
  • Compliance
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Events

Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night

Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.

Webcast
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