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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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Impact of Proposed Regulations on Real Estate Advisers

The SEC staff under Chair Gary Gensler have been busy developing a raft of proposed new rules that could have big implications for real estate advisers, in particular those that are vertically integrated.

Compliance Alert
  • Compliance
ACA

SEC Chairman Highlights Continued Scrutiny of SPACs

The SEC Chairman laid out strong signals in December 2021 that he will push for tougher rules on SPACs.

Article
  • Compliance
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Transaction Reporting: A Common Good, Commonly Wrong

Startling findings have detected that most firms are struggling with their transaction reporting obligations under MiFIR / EMIR. Results reveal more than 6M transaction reporting errors identified across a sample of 30 review projects, averaging 200,000 errors per review. This means that regulators are not receiving the data they need to successfully identify market abuse and systemic risk.

Article
  • Compliance
  • FCA
  • Trade & Transaction
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NFA Revises Key Financial Balances for Pool Financial Statements Filing for CPOs

The NFA has recently made changes to the annual pool financial statements filings required for all registered CPOs that operated a commodity pool in 2021.

Compliance Alert
  • Compliance
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Preliminary Investigation Finds No Evidence of Okta Breach

Screenshots and images of Okta's internal systems were circulated online early March 22nd by the hacking group LAPSUS$.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
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SEC Proposes Changes to Climate Disclosures

The SEC voted in favor of proposed amendments that enhance and standardize registrants’ disclosures and require periodic reporting on the climate impacts and greenhouse gas emissions of companies.

Article
  • ESG
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UK Authorities Reboot Financial Promotions Rules, Including Cryptoassets

Both the UK's HM Treasury and Financial Conduct Authority have taken aim at the perceived weaknesses of financial promotions, including cryptoassets. With this increasing focus on marketing and advertising rules, we outline measures that firms should take note of, and provide next steps for reviewing arrangements and strategies.

Compliance Alert
  • FCA
  • Compliance
Cement Room

SEC Signals Desire for Reevaluation of Private Markets Regulation

Public remarks show that growth of the private markets industry is spurring interest by SEC senior staff. What does this mean?

Article
  • Compliance
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Cybersecurity And the Workplace: Part 2

Cybersecurity implications surrounding the Great Resignation. This blog post is the second in a series that aims to breakdown the cybersecurity implications of current trends in the workplace.

Article
  • Cybersecurity
  • Cybersecurity Resources
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Annual GIPS Compliance Notification Form Deadline is June 30

Organizations that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance by June 30, 2022.

Article
  • Performance