![insights banner](/sites/default/files/styles/width_320/public/2024-02/insights.png.webp?itok=Hv-V_lUV)
Insights
![summer regulatory update summer regulatory update](/sites/default/files/styles/width_280/public/2022-09/reg.jpeg.webp?itok=KsfosAOf)
Bungled Family Account Aggregation Can Cause Compliance Aggravation for RIAs
Family account aggregation, commonly known as householding, can help clients to save money on their investment advisory fees.
- Compliance
![highway at night from overhead](/sites/default/files/styles/width_280/public/2022-03/Article%20blog%20type%20default%20image_0.png.webp?itok=hjAFfLDx)
Q2 2022 Regulatory Reporting Deadlines
SEC, FCA, ESMA, FINRA, and CFTC/NFA regulatory filing submission deadlines occurring from April through June 2022.
- Compliance
![abstract image with a lock and shield](/sites/default/files/styles/width_280/public/2022-03/Cyber%20alert%20blog%20default%20image.jpg.webp?itok=qGrHq_my)
Microsoft Identifies Critical Remote Code Vulnerability
On April 12, 2022, Microsoft notified users of a remote code execution vulnerability (CVE-2022-26809). Immediate patching is needed.
- Cybersecurity
- Cybersecurity Resources
![Compliance alert default blog image curved glass building looking up at a blue sky](/sites/default/files/styles/width_280/public/2022-03/AdobeStock_214611064_1200x900.jpg.webp?itok=g--fk6Xn)
FINRA Reminder of Liability for Failing to Discharge Rule 3110
FINRA Regulatory Notice 22-10 reminds members of their liability if they fail to discharge Rule 3110 about designated supervisory responsibilities.
- Compliance
![Common Deficiencies in Private Fund Manager Exams: What you need to know geometric background](/sites/default/files/styles/width_280/public/2022-08/adobestock_158327206.jpeg.webp?itok=skcnw738)
Family Offices: Both Fish and Fowl?
There is a nagging debate regarding the status of Family Offices that precedes the introduction of Regulation Best Interest.
- Compliance
![ESG trees 1200x900.jpeg](/sites/default/files/styles/width_280/public/2021-04/AdobeStock_192168592.jpeg.webp?itok=nCeYhJCo)
Division of Examinations’ 2022 Exam Priorities: An Increased Focus on ESG
The Division’s focus on ESG is based on several issues that have emerged during the recent surge in investor interest in ESG related topics.
- ESG
- SEC
![Compliance alert default blog image curved glass building looking up at a blue sky](/sites/default/files/styles/width_280/public/2022-03/AdobeStock_214611064_1200x900.jpg.webp?itok=g--fk6Xn)
Checklist: How to Ensure Compliance with Financial Sanctions Obligations
Responding to the Russia-Ukraine conflict, the UK Government has imposed sanctions on Russia. FCA-regulated firms are obligated to implement systems and controls to prevent financial crime. With the authorities increasing their focus on financial sanctions, download our checklist to be sure you are considering key tasks.
- Compliance
- Cybersecurity
- Managed Services
- FCA
- ComplianceAlpha
![Compliance alert default blog image curved glass building looking up at a blue sky](/sites/default/files/styles/width_280/public/2022-03/AdobeStock_214611064_1200x900.jpg.webp?itok=g--fk6Xn)
SEC Division of Examinations 2022 Examination Priorities
On March 30, 2022, the U.S. Securities and Exchange Commission’s Division of Examinations released its FY2022 Examination Priorities. Read our insights.
- Compliance
![abstract image with a lock and shield](/sites/default/files/styles/width_280/public/2022-03/Cyber%20alert%20blog%20default%20image.jpg.webp?itok=qGrHq_my)
SEC Maintains Information Security and Operational Resilience Focus in 2022
The SEC Division of Examinations released their annual Exam Priorities for the fiscal year (FY) 2022 and has highlighted information security and operational resiliency as significant focus areas for examinations.
- Cybersecurity
- Cybersecurity Resources
![Cement Room](/sites/default/files/styles/width_280/public/2022-02/Architecture%20Cement%20Wall.jpeg.webp?itok=hljWuqgH)
Potential Ramifications of the SEC’s Novel Shadow Trading Theory
This application of the “misappropriation theory” of insider trading is a reminder to assess whether MNPI is material to the value of shares of public companies.
- Compliance