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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SEC Relief for Business Development Companies

On April 9, 2020, the SEC announced temporary, conditional relief until December 31, 2020, allowing business development companies flexibility to issue and sell senior securities, and invest alongside certain affiliates that would otherwise be prohibited by the Investment Company Act.

Compliance Alert
  • Compliance
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Regulation Best Interest Compliance Date Confirmed by the SEC

The SEC issued a public statement addressing the June 30, 2020 implementation deadline for Regulation Best Interest and Form CRS in light of the challenges raised by the COVID-19 pandemic.

Compliance Alert
  • Compliance
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2020 Vision: 10 Concerns for European firms over the coming months

At our recent UK conference, 'Regulatory Horizon 2020 | The Challenges Ahead', we captured 10 concerns for European firms (aside from Covid-19). This checklist remains relevant for firms prepared to look through the crisis to the eventual recovery ahead.

Article
  • Compliance
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FINRA's Pandemic-Related Business Continuity Planning, Guidance, and Regulatory Relief

FINRA recently issued a regulatory notice reminding firms that they should review their pandemic-related business continuity planning. This review should include assessing whether their business continuity plans (“BCPs”) are flexible enough to address the impact of potential pandemic-related situations to their businesses.

Compliance Alert
  • Compliance
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Tips to Enhance Electronic Communication Surveillance

With reduced face-to-face interactions, employees are increasingly turning to electronic devices and platforms to communicate with their co-workers and clients. Increased electronic communication traffic can result in additional risks. Regulators, although providing relief in certain areas, still expect the compliance role to function effectively to mitigate these risks.

Article
  • Compliance
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SFC issues guidance to fund industry participants related to the COVID-19 outbreak

Responding to volatility in local and international markets following the COVID-19 outbreak, the Hong Kong Securities & Futures Commission (SFC) has issued four reminders to fund industry participants and intermediaries of their obligations. We examine what this means for firms.

Compliance Alert
  • Compliance
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Events

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