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Regulatory change is here for Private Fund Advisers

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Key Takeaways for Buy-Side Firms from 1LoD’s 2020 Surveillance Benchmarking Survey & Report

Our key takeaways from 1LoD's 2020 Surveillance Benchmarking Survey & Report for buy-side firms.

Survey
  • RegTech
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OCIE 2020 Examinations Priorities Letter for Broker-Dealers

On January 7, 2020, the Securities and Exchange Commission's ("SEC’s") Office of Compliance Inspections and Examinations (the “OCIE”) released its

Compliance Alert
  • Compliance
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SFTR Reporting – Non-EU AIFs Out of Scope

The European Securities Market Authority ("ESMA") and the European Commission have today confirmed that non-EU Alternative Investment Funds ("AIFs") (i.e. AIFs not established in the EU) will not be subject to Securities Financing Transaction Regulation ("SFTR") reporting obligations.

Compliance Alert
  • Compliance
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First Test of Liquidity Risk Management

The recent last minute extension of the Chinese Lunar New Year market closure proved to be troublesome for some mutual funds and ETFs compliance with the Liquidity Risk Management Program. We outline how to prepare for such unexpected changes.

Article
  • Compliance
PE Firms

M&A Due Diligence Challenges: Transition Management

Our M&A Due Diligence Challenges blog series addresses the changing nature of IT, cybersecurity, and data privacy and how investors can manage these risks and increase their chances of achieving a successful M&A transaction. Part 2 covers Transition Management and Day 1 / 100 days planning.

Article
  • Cybersecurity
  • Portfolio Company Risk Management
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FINRA 2020 Risk Monitoring and Examination Priorities

On January 8, 2020, FINRA released its Risk Monitoring and Examination Priorities Letter for 2020. While noting that the letter’s format had been changed to concentrate more on new risk areas, FINRA stated that it would continue to examine the areas of concern on which it repeatedly focused in previous years.

Compliance Alert
  • Compliance
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7 Tips to Avoid Identity Theft During the 2020 Tax Season

Tax filing may be delayed until July 15, but it's best to file as soon as possible and be extra vigilant about tax scams. Here are our tips for staying diligent and resources to share with your employees and friends.

Article
  • Cybersecurity
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Regulatory Update for CPOs and CTAs

2019 brought significant regulatory developments for registered Commodity Pool Operators (“CPOs”) and Commodity Trading Advisors (“CTAs”). Review these notices from 2019 as you plan your 2020 compliance program.

Compliance Alert
  • Compliance
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Data Privacy Day 2020

Data Privacy Day is a great opportunity to evaluate your level of data privacy compliance for your firm, especially for CCPA. Join our webcast with Compliance Week to learn what you need to know about this new privacy regulation.

Article
  • Cybersecurity
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FCA Announces New Supervision Strategy for Investment Managers

Last week, the FCA sent a Dear CEO letter outlining its refocused supervisory strategy for their firms. Find out what this means for asset management and alternative fund firms.

Compliance Alert
  • Compliance