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

December

FAQs: Top Questions Answered About the SEC's Private Fund Adviser Rules

Access a source for answers to common questions to help you better understand your obligations to meet the SEC's Private Fund Adviser Rules (IA-5955).

Article
  • Compliance
  • Performance
  • ComplianceAlpha
  • Private Fund
ACA Global

U.S. Regulatory Update – September 2023

Summer is over, and the SEC has a heavy rulemaking agenda for this fall, so hold on to your seats!

Article
  • SEC
  • Compliance
  • Broker-Dealer
  • Investment Adviser
curved glass building looking up at a blue sky

Advisory Firm Settles Cherry Picking Fraud Charges With the SEC

This case should give pause to firms of all sizes to evaluate what they are doing to proactively detect potential market abuse on their own.

Compliance Alert
  • RegTech
  • ComplianceAlpha
  • SEC
  • Compliance
curved glass building looking up at a blue sky

SEC Private Fund Adviser Rules: What Made the Cut

The SEC recently voted to adopt new rules and amendments, known as the Private Fund Adviser Rule. Here's a summary of the new rules and how they changed from the original proposals.

Compliance Alert
  • Compliance
  • Performance
  • Private Fund
Symmetrical structures

The New TPF Regime: Treating Politicians Fairly?

The FCA has asked politically exposed persons to share their experiences with regulated firms as part of the regulator's review of firms’ treatment of PEPs.

Compliance Alert
  • Compliance
  • AML and Financial Crime
curved glass building looking up at a blue sky

SEC Adopts Private Fund Adviser Rules – What Firms Should Know

The SEC’s recent vote to adopt the Private Fund Adviser Rule (IA-5955) presents some of the most significant private funds regulatory reform since the Dodd Frank Act. Read our summary of the Final Rules and our guidance for firms.

Compliance Alert
  • Compliance
  • SEC
  • Private Fund

Events