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Will SM&CR Pass its own fit and proper test

The FCA Proposes a New Approach to Publicise Investigations

The FCA’s recent proposal to publicize investigations should prompt investment firms to take a fresh look at compliance culture, platforms and testing.

Compliance Alert
  • FCA
  • Compliance
Cyber

Cyber Criminals Adapt Tactics to Attack Cloud Infrastructure

Cyber criminals likely associated with the Russian Foreign Intelligence Service are using new tactics, techniques, and procedures to gain access to cloud environments.

Cyber Alert
  • Cybersecurity
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FINRA’s New Remote Branch Office Inspection Pilot Program and Residential Supervisory Location Designation

FINRA recently published a regulatory notice to revise the definition of an OSJ and how OSJs are supervised.

Compliance Alert
  • Compliance
  • FINRA
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California State Appeals Court Rules Immediate Enforcement of CPRA Regulations

Businesses falling under the CCPA and CPRA are now required to comply with these regulations immediately.

Cyber Alert
  • Cybersecurity
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The PRI Announces Their 2024 Reporting Framework

The Principles for Responsible Investment (PRI) formally released initial details about the upcoming 2024 reporting cycle for PRI signatories.

Compliance Alert
  • ESG
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8 Steps CCOs Should Take Now to Prepare for AI Regulation

Without question, one of the hottest topics for firms over the past year has been the emergence and rapid adoption of Artificial Intelligence (AI)-based tools and technologies in the workplace. However, AI use is not without risk Read our recent blog outlining details of the regulatory response to AI use in financial services firms and get our 8 steps to better manage AI Risk.

Article
  • Compliance
  • Cybersecurity
  • Artificial Intelligence (AI)
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AML Obligations May Be Coming for Investment Advisers

FinCEN recently proposed AML and CFT programs for investment advisers that would somewhat harmonize the requirements for banks and broker-dealers with those for investment advisers.

Compliance Alert
  • AML and Financial Crime
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Form PF 2.0: Significant Amendments Implemented by the SEC and CFTC

The SEC and CFTC recently adopted amendments to Form PF that help monitor systemic risk and bolster oversight of private fund advisers.

Compliance Alert
  • Compliance
  • SEC
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SMS Message Rates May Apply: SEC Fines 16 Firms $81 Million for Recordkeeping Failures

The SEC announced that it settled charges with 16 investment advisers and broker-dealers alleging that the firms failed to maintain required electronic records. Learn more and get our tips for how to proactively strengthen your compliance program in our recent alert.

Compliance Alert
  • SEC
  • eComms Surveillance
  • Compliance
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Performance Precision: SEC's New FAQ Sharpens Focus on Gross and Net IRR Obligations

On February 6, 2024, the Securities and Exchange Commission’s (SEC) Division of Investment Management released a new Frequently Asked Question (FAQ) clarifying requirements around gross and net performance obligations for Internal Rates of Returns (IRR) often seen in the private markets space. Read our alert to understand the key details.

Compliance Alert
  • SEC Marketing Rule
  • Performance
  • Compliance
  • Private Fund