Insights
2022 Regulatory Filings Calendar
Download a printable calendar with key regulatory filing deadlines for the SEC, CFTC, NFA, FCA, and ESMA in addition to national holidays at a glance.
- Compliance
Observations from Examinations of Advisers that Provide Electronic Investment Advice
The SEC's Division of Examinations recently released their observations from exams of advisers that provide automated, electronic advice, also known as digital advisers, automated advisers, internet advisers, or robo-advisors.
- Compliance
FINRA Updates Advertising Regulation FAQs
FINRA recently updated its FAQs about FINRA 2210, its advertising regulation, to provide firms with revised guidance.
- Compliance
- Performance
ACA Group and Foreside to Join Forces
The merger will bring together two of the industry’s most well-respected GRC solutions providers. ACA and Foreside together will be positioned to transform the future of GRC, creating a world-class platform for the financial services industry.
- ACA News
FINRA Releases AML/CFT Priorities
FINRA issued Regulatory Notice 21-36 urging firms to consider how to incorporate the government-wide Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Priorities into their AML programs.
- Compliance
- AML and Financial Crime
FinCEN Issues Amended Advisory on Ransomware and Use of Financial System to Facilitate Ransom Payments
New FinCEN update on ransomware
- Cybersecurity
- Cybersecurity Resources
Ransomware 101 Part 3: How to Respond to a Ransomware Attack
Our Ransomware 101 blog series addresses multiple aspects of the ransomware issue, including what you should know and what you should do to protect your firm, your clients, and your finances. In part one, we discussed the evolving and growing threat of ransomware. In this article (part three), we’ll provide steps for responding to a ransomware attack.
- Cybersecurity
- Cybersecurity Resources
Registered Investment Company Initiatives Exam Observations
The U.S. Securities and Exchange Commission’s Division of Examinations issued a Risk Alert that provides observations from examinations conducted as part of the Division’s registered investment company initiatives.
- Compliance
- SEC
Private Equity Firms Report Receiving Phishing Emails and Scam Capital Calls
Private Equity Firms, their investors and their portfolio companies have recently been targeted in phishing attacks.
- Cybersecurity
- Cybersecurity Resources
- Phishing
Early Signs of a Significantly More Expansive Approach to SEC Examinations of Private Markets Fund Managers
While it is too early to characterize as a trend, in Q2 2021, we started to see early signs of a significant expansion in the scope of SEC exams involving private markets fund managers.
- Compliance