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

city landscape summer

U.S. Regulatory Update - Summer 2023

This edition includes updates to the SEC’s rulemaking calendar, recent money market fund reforms, FINRA's recent financial reports, and more.

Newsletter
  • SEC
  • Compliance
Tall Building with Blue Sky

Private Fund Managers Should Reevaluate their Approach to Side Letter Management Amidst Increased Scrutiny

Regulators are increasingly focusing on side letter compliance during their examinations of private fund managers. This article provides practical solutions and strategies to effectively monitor and manage side letter obligations.

Article
  • Compliance
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?

Article
  • 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

Events