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.
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.
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.
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.
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.
Outsourcing risk and compliance activities can help firms navigate the future of risk and compliance in the age of RiskMutation™ through better results, increased agility, and scale for less. Get our outsourcing strategic roadmap here.
To continue providing the fund industry with transparency and insight into how peers are approaching compliance with the liquidity program rule, we are pleased to present the results of our third annual Liquidity Risk Management Program Rule survey.
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.