Compliance Insights and Alerts

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  2. 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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New Prudential Framework: Impact Analysis for EU Investment Firms

The premise of the new rules will be to ensure investment firms have a prudential framework designed to be simpler and more proportionate to the operations of these types of firms. However, these changes will result in significant alteration to how investment firms measure their capital for regulatory purposes.

Article
  • Compliance
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Recent Regulatory Reporting Updates - What Your Firm Needs to Know

Firms in both the U.S. and the UK need to be aware of recent changes made to regulatory reporting forms.

Compliance Alert
  • Compliance
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Making a List, Checking it Twice: A CCO’s Guide to Finishing the Year Strong and Preparing for 2018

With only 19 business days left in the year, the pressure is mounting to cross those final compliance to-do’s off the list and finish the year strong.

Article
  • Compliance
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Wrap Up Compliance Projects by Year-End

Have you fallen behind schedule with your compliance testing and surveillance? Need an extra hand to assist with your annual compliance review? With year-end clearly in sight, we are avail

Article
  • Compliance
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Electronic Communications Monitoring – A No-Brainer for CCOs

In the five months since the SEC’s Office of Compliance Inspections and Examination (“OCIE”) issued request letters to registrants focused on advisers’ use of electronic communications, co

Article
  • Compliance
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OCIE Publishes Marketing Risk Alert

On September 14, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program Risk Alert related to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Advertising Rule”). The risk alert highlights the compliance issues most commonly noted by the SEC’s examination staff as part of a recent “Touting Initiative.” That initiative, which consisted of reviews of approximately 70 investment advisers, focused on the use of “accolades” in advertising.

Compliance Alert
  • Compliance
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Events

Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night

Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.

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