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

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FINRA Reminder to Supervise for Digital Signature Falsification

FINRA recently issued a regulatory notice to remind firms to monitor digital signatures to prevent or detect forgery or falsification activities.

Compliance Alert
  • Compliance
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New Marketing Rule Performance Net Return Calculation Methodologies

Learn how private fund managers can calculate extracted and hypothetical performance to the relevant portfolio, and identify and model its net performance in line with the SEC's new Marketing Rule.

Article
  • Compliance
  • SEC
  • SEC Marketing Rule
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SEC Unauthorized Electronic Communications Sweep Key Takeaways

The SEC has become increasingly concerned with the risks arising from employees’ increasingly wide-spread use of mobile electronic communications apps to conduct business. Learn about the risks and how private fund managers can more effectively track, archive, and surveil their employees’ business-related communications across all communication channels being utilized.

Article
  • Compliance
  • SEC
  • RegTech
  • ComplianceAlpha
ACA

The SEC’s New Marketing Rule: All Change Please

Coming into force on 4 November 2022, the SEC's new marketing rules introduce ssubstantial changes for all registered firms, wherever they are in the world. We outline why its key that firms familiarise themselves with the requirements now and take steps today to begin to implement these new compliance obligations, as several pieces of the work will take time and require resources

Article
  • SEC Marketing Rule
  • Compliance
  • SEC
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Emerging Threats in the Cyber Landscape

Financial firms have good reason to be worried about cyber risk. Attacks are on the rise, average costs of a breach are increasing, and regulators are responding by launching new measures for greater oversight. What are the emerging threats, and how should firms respond to this ever evolving landscape.

Article
  • Cybersecurity
  • Cybersecurity Resources
  • Compliance
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Common Deficiencies in Private Fund Manager Exams: What you need to know

The observations the SEC shared earlier this year about common deficiencies uncovered during exams hold important lessons not only for registered private funds, but for other types of funds subject to SEC oversight as well. We outline the key takeaways.

Article
  • SEC
  • Compliance

Events