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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SEC Staff Statement on Registered Funds Investing in the Bitcoin Futures Market

The Securities and Exchange Commission’s Division of Investment Management staff released a statement this week concerning registered funds, most notably mutual funds, investing in the Bitcoin futures market. The statement addressed both perceived investor risk when investing in a mutual fund with exposure to the Bitcoin futures market, as well as IM staff’s intended coordination with the Division of Examinations and the Division of Economic and Risk Analysis. Read our summary and analysis of the statement in our compliance alert.

Compliance Alert
  • Compliance
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FINRA Regulatory Actions in Q1 2021

The Financial Industry Regulatory Authority’s (FINRA) Enforcement Division has issued its enforcement action summary reports for Q1 2021. The reports listed 40 enforcement actions brought against member firms. Read on for a summary of several enforcement actions brought against broker-dealers in Q1 2021.

Compliance Alert
  • Compliance
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Navigating Evolving Risks on the Regulatory Horizon

Regulatory change, COVID-19 fallout, and a rapidly mutating ecosystem of risks make this a challenging year for financial services firms. In our complimentary whitepaper, we examine the future of risk and compliance and how firms must respond to rapidly evolving circumstances.

Article
  • Trade & Transaction
  • Compliance
  • ESG
  • Managed Services
  • Regulatory Deadlines
  • RegTech
  • ComplianceAlpha
  • FCA
  • SEC
  • Cybersecurity
  • RiskMutation
  • Brexit
  • COVID-19
  • GIPS Standards
  • Mirabella
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FCA’s Proposals to Reform its MiFID Regime for Research and Best Execution

The FCA has issued a consultation paper outlining the first of its intended changes to "UK MiFID" conduct and organisational requirements. Learn more about the main proposals, the rationale behind them and the implications for investment firms

Compliance Alert
  • Compliance
  • Managed Services
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FCA Publishes Consultation Paper 21/7 – A New UK Prudential Regime for MiFID investment firms

Following the publication of the FCA's latest Investment Firm Prudential Regime (IFPR) proposals, we examine the impact on MiFID investment firms, including key highlights, considerations, requirements and deadlines.

Compliance Alert
  • Compliance
  • Managed Services
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Form PF Reminders for Advisors to Private Funds and Hedge Funds

We discuss why Form PF is so important, and share guidelines for meeting the SEC's filing requirements.

Article
  • SEC
  • Compliance

Events