Insights
SEC Relief for Registered Investment Companies
The unprecedented coronavirus (COVID-19) pandemic has created many hardships that could make it difficult for registered investment companies (“funds”) to meet certain regulatory requirements.
- Compliance
Keeping Children Safe Online
While many students have thankfully returned to the classroom this academic year, so much of their lives, whether that be social media, education, or gaming, continues to reside online. To help keep your children safe online, our cyber experts have created a complimentary cyber safety guide for parents and caregivers.
- Cybersecurity
- Cybersecurity Resources
Maintaining Information Security and Professionalism while Working from Home
These are unusual times. The coronavirus (COVID-19) pandemic has demanded new ways of human interaction, both in the business and personal worlds. This includes firms around the world directing a large number of employees to work from home.
- Compliance
Mitigating Employee Risks Related to the COVID-19 Pandemic
The coronavirus (COVID-19) pandemic is drastically changing how firms conduct business. These changes are creating a new set of risks and challenges for firms, particularly as relates to firms’ employees.
- RegTech
- COVID-19
CFTC and NFA Regulatory Relief for Commodity Pool Operators and Commodity Trading Advisors
Due to the ongoing COVID-19 pandemic, the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) have provided regulatory reporting and branch office relief for registered Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs).
- Compliance
Managing Compliance Resource Constraints Due to COVID-19
In the face of the COVID-19 pandemic, compliance teams may need to utilize remote outsourcing or the “managed services model” to provide a much needed extension of the compliance function. Turning to an outside firm, whether for staffing support, outsourced or co-sourced arrangements, or implementing smart technology can provide the resources your firm needs.
- Compliance
7 Important Actions for Managing COVID-19 Pandemic-Related Change
A recent ACA webcast, Best Practices and Strategies for Managing Business Risks Due to COVID-19 Pandemic, explored the current regulatory landscape, best compliance practices for working from home, and strategies for mitigating emerging risks. Seven important actions that compliance teams should be taking today emerged from the discussion.
- Compliance
Business and Risk Considerations for Portfolio Companies During the COVID-19 Pandemic
Operating partners within private markets need to consider the impact the COVID-19 pandemic will have on their investments, it is crucial that accurate information related to the preparedness of your portfolio companies is available in order to ensure timely decisions are being made. Read our best practices to accomplish this and they key risks to consider.
- Cybersecurity
- Portfolio Company Risk Management
- BCP
- COVID-19
EU Short Selling Restrictions: A Further Update
In the latest of a series of short selling announcements, the Belgian, French, Italian and Spanish regulators have now revealed restrictions for each jurisdiction. We examine how this impacts on financial services firms.
- Compliance
SEC Issues Conditional Temporary Exemption for Advisers Affected by Coronavirus (COVID-19)
On Friday, March 13, 2020, the Securities and Exchange Commission (SEC) issued a temporary exemption for firms affected by coronavirus (COVID-19) from certain regulatory filing deadlines or delivery requirements with respect to Form ADV and Form PF .
- Compliance