Chicago Compliance Officer Roundtable: Hot Topics for Investment Advisers
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
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.
A recent flurry of activity from the SEC has made it crystal clear that ESG will be a top priority in the near and long term.
With the FCA confirming dates for the cessation of panel submissions for LIBOR settings, the markets have received some much-needed clarity on fast-approaching deadlines around the transition away from LIBOR. We examine what firms must do next.
FINRA recently released its Risk Monitoring and Examination Activities Report, which provides guidance on FINRA’s current examination priorities and describes its examination findings during 2020.
The SEC's Division of Examinations recently released their 2021 examination initiatives. This year, the Division singled out mutual funds and ETFs in its discussion.
On March 3, 2021, the U.S. Securities and Exchange Commission’s Division of Examinations released their FY2021 Examination Priorities. The Priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. The 2021 Priorities reflect a significant shift and increased focus on climate and environmental, social, and governance (ESG) related risks and strategies.
There is just one week to go until Regulatory Horizon 2021 | Navigating Evolving Risks, our free-to-attend European based conference for financial services firms is running from 2-4 March. We outline five reasons why this event is worth adding to your calendar.
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.
Join our team in NYC at the MFA Legal & Compliance Conference.