Compliance Insights and Alerts

Compliance teams are constantly challenged to keep pace with ever-evolving regulatory compliance news and 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 regulatory compliance trends, industry insights, risk alerts, and events.

Latest insights and alerts

December

Adviser-led Secondaries, Annual Fund Audits, and Annual Compliance Review Documentation Breakdown

The Adviser-led Secondaries Rule requires advisers to obtain an independent fair or valuation opinion while the Annual Fund Audits Rule requires advisers to obtain audits of their private funds annually and upon liquidation.

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

2024 FINRA Regulatory Oversight Report

The 2024 Annual Regulatory Oversight Report provides insight into findings from FINRA's Member Supervision, Market Regulation, and Enforcement programs.

Compliance Alert
  • Compliance
  • FINRA
December

Private Fund Restricted Activities and Preferential Treatment Rules Breakdown

The Restricted Activities Rule focuses on transparency, disclosures, and consent while the Preferential Treatment Rule bans private fund advisers from providing preferential information to investors.

Article
  • Private Fund
  • SEC
  • Compliance
December

Private Fund Quarterly Statement Rule Breakdown

The Private Fund Quarterly Statement Rule requires a quarterly statement that includes information regarding fees, expenses, and performance to the private fund’s investors.

Article
  • Compliance
  • Performance
  • Private Fund
city streets at night from above

2024 FINRA Regulatory Filings Calendar

Prepare for the year ahead with our FINRA regulatory filings calendar. Our at-a-glance calendar provides key reporting deadlines and on-going and annual regulatory obligations in an easy to understand format.

Article
  • Compliance
city streets at night aerial view

2024 Regulatory Filings Calendar for Investment Advisers

Our calendar provides key reporting deadlines and regulatory obligations for investment advisers registered with the SEC, CFTC, NFA, UK FCA, and ESMA.

Article
  • Compliance
  • SEC
  • FCA

Events