Insights

January 17, 2023

The SEC's Regulatory Flexibility Agenda outlines another ambitious year of ESG rulemaking, which will impact many aspects of the U.S.'s financial markets and its investors.

January 12, 2023

The SEC released an updated FAQ on January 11, 2023 clarifying requirements around gross and net performance obligations for one investment or a group of investments (i.e., extracted performance).

January 10, 2023

Investment advisers must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from January through March 2023.

January 09, 2023

The ESG landscape is evolving rapidly and may require advisers to seek additional resources to meet investor and regulatory expectations. Read our five key areas to consider when evaluating your needs and options.

December 30, 2022

We wanted to take a moment to look back at our most popular white papers of 2022 and the advice they provide for financial firms.

December 28, 2022

Our most popular webcasts of 2022 discuss the regulatory change that occurred throughout the year and how firms can adjust to new requirements.

December 23, 2022

Clients should consider updating their master password

December 23, 2022

The SEC's enforcement actions against a private fund manager and its founder for alleged failures to track and surveil business-related communications highlights why using comprehensive and cutting-edge regulatory technology software tools is no longer an optional best practice.

December 22, 2022

The ESG landscape is evolving at a rapid pace and requires additional resources to meet investor and regulatory expectations.

December 21, 2022

Be prepared for the year ahead with our calendar of key regulatory reporting deadlines, on-going and annual regulatory obligations, and national holidays.