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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Interval Funds Basics

In this article, we break down the fundamentals of interval funds, discussing the core concepts behind these non-traditional mutual funds.

Article
  • Compliance
  • Distribution
Compliance Alert

FCA Releases Final Rules on the Use of Appointed Representatives

The FCA has issued final rules on the Appointed Representatives (“AR”) regime, aimed at protecting consumers. We examine the new expectations and what they mean.

Compliance Alert
  • Compliance
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FCA's Latest Dear CEO Letter: Is the Devil in the Detail?

The FCA's latest Dear CEO letter notes that recent events have caused them to reassess their supervisory priorities for the alternatives sector.

Compliance Alert
  • Compliance
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Custody Rule Violations and Inaccurate Form ADV Disclosures

The SEC is cracking down on Custody Rule violations, announcing recent charges against 9 advisory firms.

Compliance Alert
  • Compliance
  • SEC
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Implications of the SEC's Draft Strategic Plan

While the SEC’s draft Strategic Plan does not appear to indicate a directional shift, it does nod toward more aggressive enforcement. Learn how this affects your firm.

Compliance Alert
  • Compliance
  • Cybersecurity
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LTAF or Having a Laugh?

The FCA recently announced a proposal to broaden retail access to Long-Term Asset Fund (“LTAF”). But what is an LTAF? Does anyone actually want one? Or is this just a regulatory anagram for FLAT?

Article
  • Compliance
  • FCA

Events