Insights
ESG Issue Brief: Gender Equality
Achieving gender equality would benefit the economy, prevent violence against women and girls, and stimulate social progress. Unfortunately, inequality is a global plague.
- ESG
SEC Amends Rule 15c6-1 to Reduce Settlement Time
The SEC recently adopted an amendment to reduce the time to settle a security purchase or sale from T+2 to T+1 and added Rule 15c6-2.
- Compliance
- SEC
Tip for Updating Your Compliance Program: MNPI Compliance Issues
In the third article in our series of tips for understanding the SEC's 2023 focus areas, we discuss our recommendations for MNPI and Code of Ethics compliance.
- Compliance
- SEC
LastPass Provides Action Items in Response to Breach
The update serves to assure customers and business administrators of what LastPass will do differently in the future to avoid similar incidents.
- Cybersecurity
Tip for Updating Your Compliance Program: Continuing Education Requirements
In the second article in our series of tips for understanding the SEC's 2023 focus areas, we discuss our recommendations for keeping tabs on continuing education requirements.
- Compliance
- SEC
Tip for Updating Your Compliance Program: SEC Focus on Hedge Clauses
In the first article in our series of tips for understanding the SEC's 2023 focus areas, we discuss the regulator's focus on hedge clauses in advisory agreements.
- Compliance
ACA Reflects on Black History Month Celebrations
Our Connected Black Professionals employee resource group continues to foster a positive and inclusive environment for all employees through initiatives that highlight outstanding achievements and celebrate black legacy and strength.
- ACA News
SEC Regulation Best Interest (Reg BI) Exam Observations Risk Alert
The SEC Division of Examinations issued a risk alert describing its observations of Regulation Best Interest deficiencies during broker-dealer exams.
- SEC
- Compliance
ESG Issue Brief: Sustainable Resource Use
There are both financial and ethical considerations when making investments that support sustainable resource use. We discuss how both can help inform a holistic investment strategy.
- ESG
Q&A For Common Marketing Rule Performance Calculation Questions
We’ve put together responses for some of the most common questions we get asked to help your firm meet the requirements of the Marketing Rule.
- SEC Marketing Rule
- Performance