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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Managing Expanding Compliance Expectations With Limited Resources

While risks, regulatory expectations, and the volume of compliance team tasks are all increasing, the skilled resources CCOs need to keep up with this demand may be difficult to obtain. We have enhanced our support options to meet these growing and evolving needs.

Article
  • Compliance
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Summary of FINRA's Regulatory Actions in 2019

FINRA's Enforcement Division brought 108 enforcement actions and levied fines against member firms that totaled $57,981,625‬‬ in 2019. These numbers mark a significant decrease in the enforcement actions and total fines from 2018.

Compliance Alert
  • Compliance
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OCIE 2020 Examinations Priorities Letter for Broker-Dealers

On January 7, 2020, the Securities and Exchange Commission's ("SEC’s") Office of Compliance Inspections and Examinations (the “OCIE”) released its

Compliance Alert
  • Compliance
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SFTR Reporting – Non-EU AIFs Out of Scope

The European Securities Market Authority ("ESMA") and the European Commission have today confirmed that non-EU Alternative Investment Funds ("AIFs") (i.e. AIFs not established in the EU) will not be subject to Securities Financing Transaction Regulation ("SFTR") reporting obligations.

Compliance Alert
  • Compliance
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First Test of Liquidity Risk Management

The recent last minute extension of the Chinese Lunar New Year market closure proved to be troublesome for some mutual funds and ETFs compliance with the Liquidity Risk Management Program. We outline how to prepare for such unexpected changes.

Article
  • Compliance
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FINRA 2020 Risk Monitoring and Examination Priorities

On January 8, 2020, FINRA released its Risk Monitoring and Examination Priorities Letter for 2020. While noting that the letter’s format had been changed to concentrate more on new risk areas, FINRA stated that it would continue to examine the areas of concern on which it repeatedly focused in previous years.

Compliance Alert
  • Compliance
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Events

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