Insights
2024 Regulatory Filings Calendar for Investment Advisers
Our calendar provides key reporting deadlines and regulatory obligations for investment advisers registered with the SEC, CFTC, NFA, UK FCA, and ESMA.
- Compliance
- SEC
- FCA
Reporting of Securities Lending Transactions
The SEC recently approved a rule requiring securities lending transactions to be reported to FINRA within 15 minutes of completion.
- Compliance
Demystifying the Private Fund Adviser Rules
The Private Fund Adviser Rules significantly impact how firms deal with investors, including requiring increased disclosure of fees and expenses, investments, and performance.
- Private Fund
- Compliance
- Performance
U.S. Regulatory Update – Winter 2023
This update covers the SEC's 2023 enforcement results, implications of the Corporate Transparency Act, the DOL's new fiduciary rule proposal, the CFTC's new blueprint for enforcement, and more.
- Compliance
- Cybersecurity
AI in UK Financial Services: Unbelievable Potential is Not Without Compliance Risk
The latest joint discussion paper FS2/23 issued by the BoE, FCA, and PRA outlined that the existing UK regulatory frameworks encompass ways in which AI is being used.
- Compliance
- Cybersecurity
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
- Cybersecurity
The Case for Outsourcing Investment Performance Services
By streamlining processes and leveraging the third-parties, firms can improve the efficiency and accuracy of their performance measurement and reporting processes, potentially leading to further cost savings.
- Performance
Three Eras of Cybersecurity Portfolio Oversight
Cybersecurity oversight of portfolio companies is continually evolving to meet new risks. Three eras can be roughly defined based on different approaches that have been adopted.
- Cybersecurity
2024 Environmental, Social, and Governance (ESG) Regulations Calendar Highlights
Our calendar highlights important ESG regulation effective dates and disclosure and reporting obligations for 2024 in the UK and EU.
- ESG
Private Fund Adviser Rules Cheat Sheet
Our SEC Private Fund Adviser Rules cheat sheet is designed to simplify these intricate regulations.
- Private Fund
- SEC
- Compliance
- Performance