Compliance Insights and Alerts

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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

Snow in Central Park

U.S. Regulatory Update – Winter 2023

This update covers the SEC's 2023 enforcement results, implications of the Corporate Transparency Act, the DOL's new fiduciary rule proposal, the CFTC's new blueprint for enforcement, and more.

Newsletter
  • Compliance
  • Cybersecurity
Will SM&CR Pass its own fit and proper test

AI in UK Financial Services: Unbelievable Potential is Not Without Compliance Risk

The latest joint discussion paper FS2/23 issued by the BoE, FCA, and PRA outlined that the existing UK regulatory frameworks encompass ways in which AI is being used.

Article
  • Compliance
  • Cybersecurity
curved glass building looking up at a blue sky

SEC Conducts Sweep of AI Use by Investment Advisers

As part of the SEC’s recent focus on AI, the Division of Examinations has initiated a sweep of investment advisers on how AI-based tools are being used by the firms.

Compliance Alert
  • Compliance
  • Cybersecurity
December

Private Fund Adviser Rules Cheat Sheet

Our SEC Private Fund Adviser Rules cheat sheet is designed to simplify these intricate regulations.

Article
  • Private Fund
  • SEC
  • Compliance
  • Performance
abstract stock chart blue and white lines on purple background

Laying the Groundwork for Future Shadow Trading Enforcement

The denial of a summary judgement in the SEC's case against a pharmaceutical company executive opens the door for the SEC to pursue other shadow trading cases.

Compliance Alert
  • RegTech
  • Compliance
  • Trade Surveillance
Blue and orange streaks of light

Strategies to Transform Your Compliance Program with Technology - #1: Champion(s)

Having a knowledgeable, engaged business partner behind you will help ensure that technology is implemented effectively and adopted successfully.

Article
  • RegTech
  • Compliance
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Events

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