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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Proposed Amendments for Regulation NMS

The SEC proposed various rule amendments to Regulation NMS to adopt variable minimum pricing increments, reduce access fee caps, and enhance the transparency of better-priced orders.

Compliance Alert
  • Compliance
  • SEC
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Proposed Regulation Best Execution Standard

The SEC proposed new regulations requiring broker-dealers to establish policies on conflicted transactions, assess execution quality, and preserve regulation compliance records, among other specific provisions.

Compliance Alert
  • Compliance
  • SEC
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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
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Tip 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

Events