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Insights and alerts related to the SEC's new Marketing Rule

Guidance and insights on regulatory proposals, enforcements, and risk alerts

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FCA Publishes Market Watch 74

The UK FCA's Market Watch 74 focuses on transaction reporting issues, highlighting improvements but persistent data quality problems. It covers MDP usage, E&O submissions, validation rules, decision maker identification, and more.

Compliance Alert
  • FCA
  • Compliance

General Solicitation Under Regulation D – Recent Trends and Enforcement Activity

There has been a rise in 506(c) general solicitation offerings due to factors such as shifts in SEC's attitude and increased enforcement of 506(b) rules.

  • SEC
  • Compliance

Zoom’s New Terms of Service Create Data Privacy Concerns

Zoom's updated Terms of Service introduce changes allowing broader use of customer data for its AI programs, raising privacy concerns due to vague language and limited opt-out options.

Cyber Alert
  • Privacy
  • Cybersecurity

Solving Investment Industry Challenges: The Strategic Role of Managed Performance Services

As the cost of in-house talent increases, firms must adopt efficient investment performance measurement and reporting processes, such as leveraging outsourced performance services.

  • Performance
  • Managed Services
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The Increasing Importance of Robust Insider Trading Controls at Private Markets Fund Managers

Private markets fund managers have underestimated insider trading risks due to their limited involvement in public markets, but increasing interactions with public companies and expert networks have heightened exposure to material nonpublic information (MNPI).

  • Compliance
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U.S. Regulatory Update - Summer 2023

This edition includes updates to the SEC’s rulemaking calendar, recent money market fund reforms, FINRA's recent financial reports, and more.

  • SEC
  • Compliance
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Myths About Cybersecurity Portfolio Oversight: Myth #4

In part 4 of our series we tackle the myth that cyber oversight is (only) about downside risk management.

  • Cybersecurity Resources
  • Cybersecurity
  • Portfolio Company Risk Management
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ACA Launches Best Execution Solution to Address Global Regulatory Requirements

New Software-as-a-Service solution includes quantitative and qualitative data analysis and reporting capabilities for enhanced compliance assurance

ComplianceAlpha Update
  • ACA News
  • RegTech
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The Expanded ETF Ecosystem

Discover how the landscape of ETFs is evolving as funds are increasingly shifting away from daily holdings disclosures. Gain expert guidance on navigating this changing landscape and embracing the new wave of semi-transparent ETFs.

  • Distribution
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Private Fund Managers Should Reevaluate their Approach to Side Letter Management Amidst Increased Scrutiny

Regulators are increasingly focusing on side letter compliance during their examinations of private fund managers. This article provides practical solutions and strategies to effectively monitor and manage side letter obligations.

  • Compliance