
Insights

The CFTC Cracks Down on Recordkeeping Failures
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.
- RegTech
- Compliance

Are You FINRA Licensed?
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.
- Distribution
- FINRA

U.S. Regulatory Update – October 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.
- Compliance
- Private Fund
- SEC
- SEC Marketing Rule
- FINRA
- ComplianceAlpha

White Paper - Completing the Puzzle: A Global GIPS Compliant Firm Definition
The case for private markets to adopt the Global Investment Performance Standards (GIPS®).
- Performance
- GIPS Standards

ACA Group Launches New Solutions to Meet Full Scope of SEC’s Private Fund Adviser Rules
ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.
- ACA News
- Private Fund
- SEC
- Compliance

Strengthen Your AML Program
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.
- AML and Financial Crime
- RegTech

2024 SEC Examination Priorities: Remember the Essentials While Adapting to Change
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.
- SEC
- Compliance
- Performance
- Cybersecurity
- ESG

The CFTC Proposes Changes to Regulation 4.7 (Registration Lite)
If passed, this rule proposal will bring significant changes to the most popular form of registration for commodity pool operators and commodity trading advisors.
- Compliance

Six Reasons Why Cybersecurity Portfolio Oversight Is Essential
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.
- Cybersecurity
- Cybersecurity Resources

FAQs: Top Questions Answered About the SEC's Private Fund Adviser Rules
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).
- Compliance
- Performance
- ComplianceAlpha
- Private Fund