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.
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.
In the first article in our series of tips for understanding the SEC's 2023 focus areas, we discuss the regulator's focus on hedge clauses in advisory agreements.
The SEC Division of Examinations issued a risk alert describing its observations of Regulation Best Interest deficiencies during broker-dealer exams.
This month we share updates about the SEC’s amendments to Rule 10b5-1 related to corporate issuer insider trading programs, the several new state privacy law taking effect this year, and more.
The risk of involvement in insider trading has intensified for private markets fund managers, who often underestimate their exposure to insider information.
The SEC's Division of Examinations released its annual exam priorities, which focus on compliance, fraud prevention, risk monitoring, and informing policy.
The SEC adopts amendments to broker-dealer electronic recordkeeping requirements, which reflect technological developments and address some of the outdated books and records requirements.
We invite you to join us as we dive into regulatory and industry considerations around performance measurement for private markets firms.