Private Markets Regulatory Trends Update: A Focus on Performance
We invite you to join us as we dive into regulatory and industry considerations around performance measurement for private markets firms.
Webcast
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
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
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
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
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
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
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