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

summer regulatory update

U.S. Regulatory Update – February 2023 Edition

This month we share updates about the SEC’s amendments to Rule 10b5-1 related to corporate issuer insider trading programs, the several new state privacy law taking effect this year, and more.

  • SEC
  • Compliance
Symmetrical structures

The Importance of Insider Trading Controls for Private Markets

The risk of involvement in insider trading has intensified for private markets fund managers, who often underestimate their exposure to insider information.

  • Managed Services
  • Compliance
  • RegTech
  • ComplianceAlpha
SEC building

The SEC’s 2023 Exam Priorities

The SEC's Division of Examinations released its annual exam priorities, which focus on compliance, fraud prevention, risk monitoring, and informing policy.

Compliance Alert
  • Cybersecurity
  • SEC
  • Compliance
  • ESG
ARRMA Case Study Three

Amendments to Rule 17a-4 Electronic Recordkeeping Requirement

The SEC adopts amendments to broker-dealer electronic recordkeeping requirements, which reflect technological developments and address some of the outdated books and records requirements.

Compliance Alert
  • Compliance
blue city

Survey: How Does Your Compliance Program's Resources Compare to Your Peers?

Participate in our budget and staffing survey to learn how other compliance programs are allocating their resources.

  • Compliance
building from below

EXAMS Observations Related to Regulation NMS Rule 606 Disclosures

The risk alert outlines observations made during SEC examinations of Rule 606(a) disclosures since the first quarter of 2020, noting issues with firms' material aspects disclosures.

Compliance Alert
  • Compliance