GRC hot topics
The PRI Announces the Release of their 2023 Reporting Framework
The updated framework aims to incorporate signatory feedback from the 2021 Pilot Program.
Is Your Organization’s Privacy Program Equipped to Tackle the Road Ahead?
January 28th is Data Privacy Day, a reminder that organizations should review their privacy obligations.
What the SEC’s Increased ESG Focus Means For You
Environmental, Social, and Governance (ESG) considerations are a growing priority for regulators. We review recent trends and areas of focus in SEC examinations.
How Will the Economic Downturn Impact Compliance Teams?
We examine how 2022's economic downturn impacted compliance companies, and explore how changing market conditions can create opportunities for new efficiencies.
- Managed Services
U.S. Regulatory Update – January 2023 Edition
We discuss the latest Risk Alert from the SEC’s Division of Examinations, the DOL’s change of heart on ESG for plan investments, and the SEC’s rule proposals to change the equity markets.
2023 FINRA Regulatory Filings Calendar for Broker-Dealers
Prepare for the year ahead with our calendar of key FINRA regulatory filing deadlines in addition to other responsibilities at a glance to help you track your firm’s regulatory obligations.
- Regulatory Deadlines
Why Building and Maintaining Robust Compliance Programs Has Become Increasingly Important for ERAs
As fiduciaries become increasingly subject to SEC inspection, ERAs should consider adopting compliance policies and procedures relevant to their operations to mitigate regulatory risks.
SEC Cybersecurity Rule 206(4)-9 Expected to Be Finalized in April 2023
The SEC’s rule will establish new requirements for firms’ cybersecurity programs while strengthening investors’ confidence in the security of their investments.
- Cybersecurity Resources
The SEC Plans to Finalize ESG-Related Rules in 2023
The SEC's Regulatory Flexibility Agenda outlines another ambitious year of ESG rulemaking, which will impact many aspects of the U.S.'s financial markets and its investors.
Updated FAQ About the SEC Marketing Rule Performance Requirements
The SEC released an updated FAQ on January 11, 2023 clarifying requirements around gross and net performance obligations for one investment or a group of investments (i.e., extracted performance).
- SEC Marketing Rule