Insights
Introducing Enhanced Analytics and Surveillance Capabilities in ComplianceAlpha 2.5
ComplianceAlpha 2.5 includes new features designed to provide firms globally with deeper insights into potential risk and opportunity across the enterprise.
- RegTech
OCIE Issues Risk Alert Highlighting Observations from Examinations of Investment Advisers with Multiple Branch Offices’ Compliance and Supervisory Practices
The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on November 9, 2020 that focused on SEC-registered investment advisers operating from numerous branch offices and with operations geographically dispersed from the adviser’s principal or main office.
- Compliance
The 2020 GIPS Standards: Explanation of the Provisions for Firms – Section 4
Section 4 of the Explanation of the Provisions focuses on the proper disclosure requirements to include in GIPS Reports to be compliant with the 2020 GIPS standards.
- Performance
FCA Confirms Details of the UK’s Post-Brexit Short-Selling Regime
The FCA recently published details for reporting net short positions in relevant UK shares and sovereign debt from 1 January 2021. We examine how the on-shored regime for short selling will operate in the UK firms once the Brexit transition period ends.
- Compliance
- FCA
- Brexit
SEC Amends the Accredited Investor Definition
The SEC approved amendments to the “accredited investor” definition, which become effective on December 8, 2020. They aim to modernize the definition to more effectively identify institutional and individual investors that have the knowledge and expertise to participate in those markets.
- Compliance
Trade and Transaction Reporting: Perfect Storm or Opportunity Knocking?
As geopolitical change and uncertainty, regulatory sabre-rattling and industry shake-ups combine to create a perfect storm, we examine the impact for financial services firms on their trade and transaction reporting obligations under MiFIR, EMIR and SFTR.
- Compliance
- Trade & Transaction
FINRA Leverages the GIPS Standards for Standardizing Private Placement Performance Marketing
FINRA's release of Regulatory Notice 20-21 allows the use of IRR for investments or funds that have been fully realized but further requires utilizing the calculation methodologies of the Global Investment Performance Standards (GIPS) for investment programs/funds that include both realized and unrealized holdings.
- Performance
California Approves CPRA, Which Amends CCPA
Learn more about the California Privacy Rights Act (CPRA), which amends the existing California Consumer Privacy Act (CCPA).
- Cybersecurity
- Privacy
RiskMutation™ Strategic Roadmap: Outsourcing
Outsourcing risk and compliance activities can help firms navigate the future of risk and compliance in the age of RiskMutation™ through better results, increased agility, and scale for less. Get our outsourcing strategic roadmap here.
- Compliance
- RiskMutation
White Paper: 2020 Liquidity Risk Management Program Rule Survey Results
To continue providing the fund industry with transparency and insight into how peers are approaching compliance with the liquidity program rule, we are pleased to present the results of our third annual Liquidity Risk Management Program Rule survey.
- Compliance