Insights

April 21, 2023

The SEC makes it clear that all broker-dealers and investment advisers have conflicts of interest, and that firms must have a process to identify, mitigate, or eliminate these conflicts.

April 20, 2023

Fact sheets are one of the main tools that investors reference when analyzing mutual funds, and they can be an essential marketing piece to attract and engage additional shareholders.

April 19, 2023

The FCA released their 2023/24 Business Plan on 5 April 2023 detailing the actions the UK regulator aims to take over the next 12 months.

April 18, 2023

This update includes tips for a stellar compliance program review, the download on the recent banking sector volatility, a reminder about Form BE-12 filing obligations, and more.

April 14, 2023

The SEC proposed to amend the order competition requirements of the National Market System, which would promote competition and protect individual investors.

April 14, 2023

SM&CR is being assessed by the FCA, PRA, and HM Treasury and invites stakeholder views on areas of potential change, specifically the effectiveness, scope, and proportionality of SM&CR and "other improvements" to SM&CR.

April 13, 2023

To receive prohibited compensation, investment advisers and broker-dealers must comply with DOL's PTE 2020-02, including impartial conduct standards, required disclosures, policies, and an annual review.

April 13, 2023

This paper addresses 4 common myths firms often assume about cybersecurity portfolio oversight and provides a path forward to build an effective approach to cybersecurity across your portfolio.

April 11, 2023

New solution provides private markets firms with strategic advantage to aid growing expectations into oversight of cybersecurity.

April 06, 2023

The SEC will investigate advisers' use of electronic communication platforms. Advisors should review policies, poll employees, test email domains, and train staff to avoid penalties.