Insights
SEC Examinations Division to Evaluate Firms’ Readiness for T+1
The SEC Examinations Division issued a risk alert reminding broker-dealers, clearing agencies, and investment advisers of their new obligations in connection with the transition to T+1 settlement of certain securities transactions.
- Compliance
- SEC
2024 Investment Management Compliance Testing Survey Now Open
This survey, now in its 19th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.
- Compliance
Highlights From the 2024 ACA Conference
As the curtains close on the ACA Conference 2024, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
- Compliance
- RegTech
- Cybersecurity
- ESG
- Performance
- Managed Services
- SEC
Critical Vulnerability Detected in Palo Alto Networks' GlobalProtect Gateways
A popular firewall used in the financial industry is under attack due to a critital zero-day vulnerability. Firms that use Palo Alto Networks' firewall need to update their software to protect their systems.
- Cybersecurity
FCA Interim Update - Asset Management & Alternatives Supervisory Strategy
The FCA recently released a Dear CEO letter interim update to reinforce their continued focus on protecting investors and customers from poor outcomes and upholding market integrity.
- Compliance
- FCA
- ESG
Implementation Challenges of the Private Fund Adviser Rules for Large Private Equity Advisers
We drill down into the challenges specific to large private equity firms when implementing the Private Fund Adviser Rules.
- Compliance
- Private Fund
- SEC
- Performance
The FCA’s 2024/25 Business Plan: Maintaining Focus and Resiliency Amid Ongoing Economic and Geopolitical Uncertainty
The FCA unveiled its Business Plan for 2024/25 providing a roadmap for its actions in support of its strategic objectives for the upcoming fiscal year.
- Compliance
- ESG
- FCA
- Trade Surveillance
Two Important Cybersecurity Alerts from CISA
The Cybersecurity and Infrastructure Security Agency (CISA) issued two advisories that require impacted firms to take immediate action.
- Cybersecurity
Strategies to Transform Your Compliance Program with Technology - #5: Tech-enablement
Adopting new technology is a great opportunity to review your compliance program’s processes and make improvements.
- RegTech
- ComplianceAlpha
Q2 2024 Regulatory Reporting Deadlines
Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from April through June 2024.
- Regulatory Deadlines
- Compliance
- SEC
- FINRA
- FCA