Compliance Insights and Alerts

May 25, 2018

Summer is finally here! With Memorial Day marking the unofficial start to summer it’s time to take a break, but in the compliance industry it’s not as simple as turning on your “out of office” and walking out the door. Compliance officers and managers need the assurance that they can leave the office and still have the resources available to fulfill both their regulatory obligations and their fiduciary duty to clients.

May 01, 2018

Hedge funds and hedge fund advisers that need to file Form PF on a quarterly basis may already know the challenges they face. This blog post summarizes what additional information you need as a quarterly filer to help you prepare for the next submission deadline.

April 23, 2018

Likely to come into force by the end of 2019, the prudential framework will hit some firms very hard, requiring them to maintain significantly greater levels of capital. We are running a series of articles assessing the material areas of change imposed by these new rules. In this first article, we examine the regime’s impact on the capital and liquidity requirements of Exempt-CAD firms.

April 04, 2018

Investors and regulators globally are actively reviewing and examining digital asset advisers’ investment practices.

April 02, 2018

During the first quarter of 2018, U.S. regulatory agencies and a federal district court issued statements and took actions that are likely to significantly affect the U.S. regulatory landscape for digital assets, including cryptocurrencies, initial coin offerings, and digital asset trading platforms. This blog post is a summary of our article detailing the recent key regulatory developments that apply to organizations operating in the U.S. digital asset space.

March 28, 2018

The Securities and Futures Commission (SFC) of Hong Kong published the conclusion to proposed changes in its Fund Manager Code of Conduct last November, helping to clarify a few remaining areas of contention following its original consultation paper. We have produced a quick summary of the ten key points you need to know from the consultation conclusions on Asset Management regulation.