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

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2021 Regulatory Filings Calendar

To help you stay on track with your firm’s regulatory reporting obligations, we’ve put together a printable calendar with key deadlines for the SEC, CFTC, NFA, and ESMA regulatory filings in addition to national holidays at a glance.

Article
  • Compliance
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SEC and FINRA Hold Joint Roundtable on Regulation Best Interest and Form CRS

The SEC and FINRA staff held a joint roundtable on October 26, 2020 to discuss their initial observations of broker-dealer compliance with Reg BI and Form CRS requirements since the June 30, 2020 deadline.

Compliance Alert
  • Compliance
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OCIE Issues Risk Alert Highlighting Observations from Examinations of Investment Advisers with Multiple Branch Offices’ Compliance and Supervisory Practices

The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on November 9, 2020 that focused on SEC-registered investment advisers operating from numerous branch offices and with operations geographically dispersed from the adviser’s principal or main office.

Compliance Alert
  • Compliance
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FCA Confirms Details of the UK’s Post-Brexit Short-Selling Regime

The FCA recently published details for reporting net short positions in relevant UK shares and sovereign debt from 1 January 2021. We examine how the on-shored regime for short selling will operate in the UK firms once the Brexit transition period ends.

Compliance Alert
  • Compliance
  • FCA
  • Brexit
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SEC Amends the Accredited Investor Definition

The SEC approved amendments to the “accredited investor” definition, which become effective on December 8, 2020. They aim to modernize the definition to more effectively identify institutional and individual investors that have the knowledge and expertise to participate in those markets.

Compliance Alert
  • Compliance
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Trade and Transaction Reporting: Perfect Storm or Opportunity Knocking?

As geopolitical change and uncertainty, regulatory sabre-rattling and industry shake-ups combine to create a perfect storm, we examine the impact for financial services firms on their trade and transaction reporting obligations under MiFIR, EMIR and SFTR.

Article
  • Compliance
  • Trade & Transaction
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Events

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