Insights

November 02, 2023

The CFTC recently issued an order against an introducing broker and a futures commission merchant for violations of recordkeeping and supervision requirements. However, this is just one instance in the CFTC's crackdown.

November 01, 2023

Many asset managers come to us when they find out they can no longer rely on the issuer exemption and are faced with the dilemma of their staff promoting their funds. We break down the requirements to help you avoid this issue.

October 31, 2023

The SEC's rulemaking and enforcement activity continues unabated. This issue also covers FINRA's remote inspections request, and NASAA's Reg BI report.

October 26, 2023

The case for private markets to adopt the Global Investment Performance Standards (GIPS®).

October 24, 2023

ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.

October 23, 2023

Firms need to be proactive in their approach to AML and sanctions compliance. Following this checklist can create a good foundation for an effective program.

October 20, 2023

The theme of this year's exam priorities is while compliance teams race to adapt to new and evolving regulatory requirements, they should not lose sight of compliance fundamentals.

October 19, 2023

If passed, this rule proposal will bring significant changes to the most popular form of registration for commodity pool operators and commodity trading advisors.

October 17, 2023

Cybersecurity risks are ever present and pressure to secure investments is mounting. Firms need to build and operate a formal program of cybersecurity portfolio oversight and conduct ongoing assessments of their portfolio companies’ cyber posture over the entire investment lifecycle.

October 12, 2023

Access a source for answers to common questions to help you better understand your obligations to meet the SEC's Private Fund Adviser Rules (IA-5955).