Meeting the PRI’s New Reporting Expectations
Join us for an overview of the PRI's 2023 reporting framework, as well as expert guidance to meet the PRI's new expectations.
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.
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.
The risk of involvement in insider trading has intensified for private markets fund managers, who often underestimate their exposure to insider information.
The SEC's Division of Examinations released its annual exam priorities, which focus on compliance, fraud prevention, risk monitoring, and informing policy.
The SEC adopts amendments to broker-dealer electronic recordkeeping requirements, which reflect technological developments and address some of the outdated books and records requirements.
Participate in our budget and staffing survey to learn how other compliance programs are allocating their resources.
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.
Join us for an overview of the PRI's 2023 reporting framework, as well as expert guidance to meet the PRI's new expectations.
Join us for a discussion about cybersecurity portfolio oversight and the value-add it brings to sponsors.