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Insights and alerts related to the SEC's new Marketing Rule

Guidance and insights on regulatory proposals, enforcements, and risk alerts

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When is marketing not marketing? When it’s pre-marketing - Omnibus proposals bring fresh clarity from Europe

When the Alternative Investment Fund Managers Directive (“AIFMD”) came into force back in the heady days of 2013, it brought into the financial lexicon terms that are now well-worn phrases such as “

Compliance Alert
  • Compliance
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The 2020 GIPS Standards: The Top Changes You Need to Know

After much anticipation from the investment management community, CFA Institute released the 2020 GIPS Standards on June 28, 2019. The newest version represents the most significant changes since the 2010 edition of the GIPS standards went into effect on January 1, 2011.

Article
  • Performance
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Cyber Alert: Vulnerability Discovered in Microsoft Excel; Rise in Spear-Phishing Attacks

This alert contains information about a vulnerability discovered in Microsoft® Excel®, as well as information about a recent rise in spear-phishing attacks attributable to

Cyber Alert
  • Cybersecurity
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M&A Due Diligence Challenges: Pre-Deal IT Due Diligence

Our M&A Due Diligence Challenges blog series addresses the changing nature of IT, cybersecurity, and data privacy and how investors can manage these risks and increase their chances of achieving a successful M&A transaction. We also discuss tales from the trenches and lessons learned from M&A due diligence we have performed for clients.

Article
  • Cybersecurity
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Recent Industry Trends: Alternative Asset Managers and the GIPS Standards

Every few years, ACA and eVestment release a joint survey that queries industry participants on the value of compliance with the GIPS standards. One continual trend that we have noticed is an uptick in interest among alternative asset managers in the GIPS standards.

Article
  • Performance
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ACA Compliance Group Announces New Sexual Harassment Prevention Online Training

ACA Compliance Group is pleased to announce the continued expansion of its online training platform to include its newest course on sexual harassment awareness and prevention.

News
  • ACA News
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EMIR REFIT: What do I need to know?

The amended European Market Infrastructure Regulation (“EMIR REFIT” or simply “REFIT”) came into force on 17 June. It’s designed to simplify a derivatives regime currently seen as burdensome to some market participants, particularly those whose risk profile is unlikely to impact macro stability. In this note, we summarise the key reforms and give some pointers about what you need to think about.

Compliance Alert
  • Compliance
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FCA puts Private Markets Firms’ Anti-Money Laundering and Financial Crime Controls under the spotlight

Given the tone of the business plan with regards to financial crime, and a reiteration of its focus on firm governance and culture, it is no surprise that the assessments by the FCSST focussed on 6 areas. If the indications from the documents requested by the FCSST, and the interviews that took place during the onsite portion of the assessment, are anything to go by, it is clear the FCA is following through on its intent to be more intrusive.

Compliance Alert
  • AML and Financial Crime
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SEC Approves Regulation Best Interest

On June 5, 2019, the SEC passed Regulation Best Interest (“Reg BI”). Broker-dealers will be required to act in the best interest of their retail customers when recommending any securities transaction or investment strategy. Here's what you need to know.

Compliance Alert
  • Compliance
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2019 Anti-Money Laundering Regulatory Climate Update

Although there are political signals that the current U.S. administration will provide financial institutions regulatory enforcement relief in comparison to years prior, this is not the case. As evidenced by the consistent penalties enforced over the past several years, AML/BSA regulatory enforcement remains a top priority.

Compliance Alert
  • AML and Financial Crime