Insights

March 11, 2021

With the FCA confirming dates for the cessation of panel submissions for LIBOR settings, the markets have received some much-needed clarity on fast-approaching deadlines around the transition away from LIBOR. We examine what firms must do next.

March 11, 2021

FINRA recently released its Risk Monitoring and Examination Activities Report, which provides guidance on FINRA’s current examination priorities and describes its examination findings during 2020.

March 10, 2021

The SEC's Division of Examinations recently released their 2021 examination initiatives. This year, the Division singled out mutual funds and ETFs in its discussion.

March 09, 2021

On March 3, 2021, the U.S. Securities and Exchange Commission’s Division of Examinations released their FY2021 Examination Priorities. The Priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. The 2021 Priorities reflect a significant shift and increased focus on climate and environmental, social, and governance (ESG) related risks and strategies.

March 05, 2021

The Financial Industry Regulatory Authority (FINRA) has issued an alert warning of reported phishing attempts using fake FINRA credentials. Per the notice, an ongoing email phishing campaign has been reported, in which the fake FINRA domain name of supports @finra-online.com is being used.

March 05, 2021

This week, ACA Compliance Group made the move to ACA Group, better known to our clients and industry partners as ACA.

March 04, 2021

The NFA issued a notice to members warning of reported phishing attempts using fake NFA credentials. The phishing campaign includes emails using a fake domain that mimics the NFA’s domain name.

March 03, 2021

Microsoft has reported that it has suffered four “zero-day” attacks targeting its on-premises email and calendaring Exchange Server products. The reported vulnerabilities apply to on-premises versions of Microsoft Exchange Server. Learn what steps to take to protect your firm.

February 23, 2021

There is just one week to go until Regulatory Horizon 2021 | Navigating Evolving Risks, our free-to-attend European based conference for financial services firms is running from 2-4 March. We outline five reasons why this event is worth adding to your calendar.

February 21, 2021

On February 18, the U.S. Department of Homeland Security’s Cybersecurity and Infrastructure Security Agency (CISA) issued an alert detailing a ransomware attack suffered by a natural gas compression facility. The ransomware attack led to a two-day controlled shutdown of operations, causing significant loss of productivity and revenue.