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Insights and alerts related to the SEC's new Marketing Rule

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The Importance of ESG Risk Management During Periods of Market Volatility

Those who have invested heavily in ESG risk management are likely to be better prepared to weather the current market volatility.

Article
  • ESG
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New Marketing Rule Performance Net Return Calculation Methodologies

Learn how private fund managers can calculate extracted and hypothetical performance to the relevant portfolio, and identify and model its net performance in line with the SEC's new Marketing Rule.

Article
  • Compliance
  • SEC
  • SEC Marketing Rule
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Apple Warns of Two Vulnerabilities

In Apple’s latest software release update for iOS 15.6.1, Apple urges users to update their devices as soon as possible to avoid two known security issues.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
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Market Volatility and Downstream Security Implications

Market volatility is predicted to have an impact on the cyber risk landscape. Learn the implications of the current risk and how your firm can prepare for an uncertain future.

Article
  • Cybersecurity
  • Cybersecurity Resources
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SEC Unauthorized Electronic Communications Sweep Key Takeaways

The SEC has become increasingly concerned with the risks arising from employees’ increasingly wide-spread use of mobile electronic communications apps to conduct business. Learn about the risks and how private fund managers can more effectively track, archive, and surveil their employees’ business-related communications across all communication channels being utilized.

Article
  • Compliance
  • SEC
  • RegTech
  • ComplianceAlpha
ACA

The SEC’s New Marketing Rule: All Change Please

Coming into force on 4 November 2022, the SEC's new marketing rules introduce ssubstantial changes for all registered firms, wherever they are in the world. We outline why its key that firms familiarise themselves with the requirements now and take steps today to begin to implement these new compliance obligations, as several pieces of the work will take time and require resources

Article
  • SEC Marketing Rule
  • Compliance
  • SEC
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Microsoft Releases Information on 100+ Vulnerabilities

Learn about Microsoft's latest vulnerabilities, as well as recommendations for protecting your firm against them.

Cyber Alert
  • Cybersecurity
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Emerging Threats in the Cyber Landscape

Financial firms have good reason to be worried about cyber risk. Attacks are on the rise, average costs of a breach are increasing, and regulators are responding by launching new measures for greater oversight. What are the emerging threats, and how should firms respond to this ever evolving landscape.

Article
  • Cybersecurity
  • Cybersecurity Resources
  • Compliance
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Common Deficiencies in Private Fund Manager Exams: What you need to know

The observations the SEC shared earlier this year about common deficiencies uncovered during exams hold important lessons not only for registered private funds, but for other types of funds subject to SEC oversight as well. We outline the key takeaways.

Article
  • SEC
  • Compliance
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Budget Benchmarking Survey Series: Compare Your Cyber and Compliance Program Resources to Your Peers

Participate in our budget and staffing surveys to learn how your peers are allocating their program’s resources and prepare for the 2023 budgeting season.

Survey
  • Compliance
  • Cybersecurity