Compliance Insights and Alerts

Compliance teams are constantly challenged to keep pace with ever-evolving regulatory compliance news and 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 regulatory compliance trends, industry insights, risk alerts, and events.

Latest insights and alerts

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SEC Conducts Sweep of AI Use by Investment Advisers

As part of the SEC’s recent focus on AI, the Division of Examinations has initiated a sweep of investment advisers on how AI-based tools are being used by the firms.

Compliance Alert
  • Compliance
  • Cybersecurity
December

Private Fund Adviser Rules Cheat Sheet

Our SEC Private Fund Adviser Rules cheat sheet is designed to simplify these intricate regulations.

Article
  • Private Fund
  • SEC
  • Compliance
  • Performance
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Laying the Groundwork for Future Shadow Trading Enforcement

The denial of a summary judgement in the SEC's case against a pharmaceutical company executive opens the door for the SEC to pursue other shadow trading cases.

Compliance Alert
  • RegTech
  • Compliance
  • Trade Surveillance
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Strategies to Transform Your Compliance Program with Technology - #1: Champion(s)

Having a knowledgeable, engaged business partner behind you will help ensure that technology is implemented effectively and adopted successfully.

Article
  • RegTech
  • Compliance
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The Corporate Transparency Act: The Latest Iteration of Customer Due Diligence in the Financial Crime Toolkit

FinCEN issued the Corporate Transparency Act to create greater transparency into the beneficial owners of small companies.

Compliance Alert
  • AML and Financial Crime
  • Compliance
December

Private Fund Adviser Rules Timeline

Download a timeline that maps out each critical phase of the SEC's Private Fund Adviser Rules and the timeframes required to meet the rule's deadlines.

Article
  • Private Fund
  • SEC
  • Compliance
  • Performance

Events