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2022 Regulatory Headwinds: Potential Changes to Securities Laws and Regulations and the Impact on Private Fund Managers

We partnered with Willkie Farr & Gallagher LLP to explore several of the proposed SEC rulemakings that merit special attention for private funds.

Article
  • RegTech
  • Compliance
Regulatory Horizon 2022

Four Reasons to Attend Regulatory Horizon 2022 | Prepare for the Challenges of Tomorrow

On 8-10 March, we bring together a wealth of financial services industry experts at our virtual conference. Over 3 days and 10 sessions, they’ll examine a wide variety of governance risk and compliance hot topics and challenges. Learn more about why you should add this event to your calendar.

Article
  • Compliance
  • ComplianceAlpha
  • ESG
  • Cybersecurity
  • Cybersecurity Resources
  • Managed Services
  • FCA
  • SEC
  • SEC Marketing Rule
  • Regulatory Deadlines
Compliance Alert

SEC Proposes Sweeping Changes Affecting Private Fund Managers

On February 9, 2022, the SEC proposed five new rules as well as amendments to Rules 204-2 and 206(4)-7 under the Investment Advisers Act of 1940, as amended. According to the SEC, these proposals are designed to address "concerns that arise out of the opacity that is prevalent in the private fund structure."

Compliance Alert
  • Compliance
  • Private Fund
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Whaling Attacks: How to Respond When a C-Suite Executive is a Victim

Whaling will soon become one of the most prominent forms of cyberattacks, especially with firms that operate in remote and hybrid work environments. In this article, we describe: whaling attacks, their impact, how to prepare C-Suite executives to not fall victim to whaling attacks, and what to do if an executive is a victim.

Article
  • Cybersecurity
  • Cybersecurity Resources
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Significant Proposals for Cybersecurity Risk Rules in the Financial Industry

The SEC recently voted to propose new rules to address cybersecurity risk management for registered investment advisers and investment companies. These proposed rules address multiple concerns related to cybersecurity risks to investment advisors, clients of investment advisors, private funds, and investors of private funds.

Cyber Alert
  • Cybersecurity
Roads

Lifting the Lid on the Systematic Trading: The Most Common Compliance Pitfalls

Navigating the matrix-like world of algorithmic trading is a complex task for compliance officers at SEC and FCA registered firms. Poor management results in adverse impacts for investors, losses or reputational damage. We reveal common compliance errors and provide guidance on how to rectify them.

Article
  • Compliance
Cement Room

Private Markets Quarterly Update 2021 Q4

Learn more about recent regulatory developments industry insights in our Private Markets Quarterly Newsletter.

Newsletter
  • Compliance
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NFA Announces Extension of Relief from On-site Branch Inspections

The NFA issued a Notice to Members on February 1, 2022, extending relief from performing on-site annual branch office inspections.

Compliance Alert
  • Compliance
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Cyber Insurance: Top Five Trends for 2022

The first blog post in a multi-part series on cybersecurity insurance produced by ACA Aponix’s Thought Leadership Team. The objective of this series is to provide clients with the highest quality insights and expertise on the changing and evolving cyber insurance marketplace.

Article
  • Cybersecurity
  • Cybersecurity Resources
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SEC’s Examination Division Shares Observations Relating to Common Deficiencies Uncovered in Private Fund Manager Examinations

On January 27, 2022, the SEC’s Division of Examinations (EXAMS) shared observations relating to common deficiencies uncovered in the examination of private fund advisers over a five-year period. These observations are a sequel to, and supplement, the observations EXAMS shared in their June 2020 risk alert. In our in-depth analysis, we cover what firms need to know about this risk alert.

Compliance Alert
  • Compliance