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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

Regulatory change is here for Private Fund Advisers

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The New TPF Regime: Treating Politicians Fairly?

The FCA has asked politically exposed persons to share their experiences with regulated firms as part of the regulator's review of firms’ treatment of PEPs.

Compliance Alert
  • Compliance
  • AML and Financial Crime
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ESG Marketing in the SEC's Crosshairs

The SEC's specialized Climate and ESG Task Force recently issued subpoenas to several asset managers requesting marketing materials related to environmental, social, and governance.

Compliance Alert
  • ESG
  • Investment Adviser
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Active Risk Alert: Traders Targeted via WinRAR Vulnerability

A zero-day vulnerability has been identified in versions of compression tool WinRAR predating August 2, 2023

Cyber Alert
  • Cybersecurity
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SEC Adopts Private Fund Adviser Rules – What Firms Should Know

The SEC’s recent vote to adopt the Private Fund Adviser Rule (IA-5955) presents some of the most significant private funds regulatory reform since the Dodd Frank Act. Read our summary of the Final Rules and our guidance for firms.

Compliance Alert
  • Compliance
  • SEC
  • Private Fund
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Enhancing Valuations and Investor Trust with Cybersecurity Portfolio Oversight

Programmatic cybersecurity portfolio oversight will meet increased investor expectations and safeguard and grow the valuation of investments.

Article
  • Cybersecurity
  • Cybersecurity Resources
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White Paper: Unveiling Industry Perspectives on the SEC’s Proposed Cyber Rule 206(4)-9

The public has weighed in on the SEC's proposed Rule 206(4)-9, which sets cybersecurity risk management expectations for investment firms. In this guide, we discuss the industry's reaction, exploring the main areas of concern for the Rule.

Report
  • Cybersecurity
  • Compliance
  • SEC
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Maintaining Quality Investment Performance Measurement and Reporting Amid Increased Pressure

The investment industry is undergoing transformation due to technology, changing preferences, and regulations, while firms struggle with recruitment, compliance, and costs. Firms need efficient processes and technology adoption to reduce the burden on in-house resources.

Article
  • Managed Services
  • Performance
ACA Global

White Paper: Building and Distributing an Exchange-Traded Fund from Start to Finish

In this guide, we walk you through everything you need to know to start launching an exchange-traded fund (ETF), including the differences between ETFs and other product offerings, startup costs, necessary service providers, and how to gain assets via distribution.

Report
  • Distribution
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Active Risk Alert: Firms Receiving Phishing Attempts from Compromised Internal Emails

On August 11th, ACA confirmed three financial services firms are experiencing phishing attacks using identical phishing emails and tactics. Firms should be on heightened alert.

Cyber Alert
  • Cybersecurity
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Regulatory Enforcement of Off-Channel Communications

The U.S. SEC has charged 11 financial firms for failing to maintain electronic communications, imposing penalties of over $289 million. This is part of a broader crackdown, with previous cases involving similar charges and penalties exceeding $1.5 billion, raising industry concerns about proper recordkeeping.

Compliance Alert
  • SEC
  • Compliance
  • RegTech