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

cyber outage

SEC Proposes Rule to Limit Conflicts of Interest in AI-Based Investor Engagement Tools

The SEC proposed two new rules to put guardrails around the use of predictive data analytics by broker-dealers and investment advisers. The goal is to limit the use of technology in ways that favor financial firms’ interests.

Cyber Alert
  • Compliance
  • Cybersecurity
  • Privacy
Will SM&CR Pass its own fit and proper test

MiFID Research Bundling: Will the Expired Relief for U.S. Broker-Dealers be Reinstated?

MiFID II reformed research payment practices in Europe, but the expiration of relief from the SEC has prompted a bill in the U.S. House of Representatives to extend it for six months, aligning with potential changes in the regulations by the UK and EU.

Compliance Alert
  • Compliance
  • SEC
  • Broker-Dealer
ARRMA Case Study Three

Industry Insights: Mansion House Speech Highlights Potential for the UK Markets

Will the UK Chancellor’s new packages of pension reforms boost the UK markets and open up new opportunities for investment into UK Growth Companies?

  • Compliance
  • FCA
Curved office building

SEC Marketing Rule Continues to Dominate Investment Advisers' Compliance Concerns, Survey Reveals

The 2023 Investment Management Compliance Testing Survey results reveal marketing is still the top compliance concern. Cybersecurity and electronic communications follow closely behind.

Press Release
  • ACA News
  • Compliance
Fee Calculations_Performance

Navigating SEC Scrutiny: Enhancing The Accuracy of Fee Calculations for Private Funds

In an environment of intense regulatory scrutiny, the SEC is putting private fund managers under the microscope, focusing on fees charged to investors. In our recent article we break down the challenges and obstacles firms face as a result of these complex fees both in terms of calculations and the descriptions in the fund's governing documents.

  • Performance
  • SEC
  • Compliance
highway at night from overhead

Regulation Best Interest Assessment and the Next Frontier

Now that Reg BI has been in place for almost three years, the industry has received a few waves of feedback from the regulators through enforcement actions, arbitrations and additional guidance. We break them down in this article.

  • Compliance
  • SEC