Private Markets Regulatory Trends Update: A Focus on Performance
We invite you to join us as we dive into regulatory and industry considerations around performance measurement for private markets firms.
Webcast
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
2023 Regulatory Filings Calendar for Investment Advisers
Be prepared for the year ahead with our calendar of key regulatory reporting deadlines, on-going and annual regulatory obligations, and national holidays.
Article
- Compliance
- Managed Services
- SEC
- FCA
- Regulatory Deadlines
U.S. Regulatory Update – December 2022 Edition
This issue covers the SEC Division of Enforcement’s 2022 annual report, FINRA’s recent sweep of crypto-related communications, recently adopted mutual fund rules, and compliance concerns for real estate fund managers when interest rates rise.
Article
- Compliance
FCA Fines Broking Firm and Bans Former Directors Over Reporting Failures
A global brokerage firm has been hit with a £531,000 FCA fine for failing to make reports crucial in fighting potential market abuse. Its board members were also fined and banned from management positions in FCA regulated firms. We assess how and why this happened and provide practical guidance to avoid similar enforcements.
Compliance Alert
- Compliance
- Trade & Transaction
- FCA
- ComplianceAlpha
- Trade Surveillance
EXAMS Risk Alert Warns Advisers and Broker-Dealers to Beef Up Identify-Theft Practices
EXAMS issued its sixth Risk Alert to let advisers and broker-dealers know how firms are failing to meet their obligations under Regulation S-ID, the “Identity Theft Red Flag Rule."
Compliance Alert
- Compliance
- SEC
The Compliance Talent Supply and Demand Challenge
Compliance teams are increasingly challenged to keep regulatory pace and best practices while managing with fewer internal resources, demand for increased efficiency, and budget constraints. This leaves firms in danger of creating risky exposure gaps in their compliance program. Learn more about practical ways to address these challenges.
Article
- Compliance
- Managed Services
- FCA
- SEC
- ComplianceAlpha
- RegTech
SEC Strategic Plan: More Enforcement, More Rules, and More Technology
The SEC issued its four-year strategic plan for 2022-2026. We summarize the goals of the plan and explore what it means for the next four years.
Compliance Alert
- Compliance
- SEC
- Cybersecurity
- ESG
- RegTech