Industry Insights

SEC Withdraws 14 Rule Proposals From Its Agenda

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On June 12, 2025, the SEC withdrew most of its pending proposed rules affecting investment advisers, investment companies, and broker-dealers. This included a wide range of rules proposed during former Chair Gensler’s tenure, including: Cybersecurity risk management and disclosure requirements ESG disclosure requirements Conflicts of interest related to predictive data analytics Outsourcing by investment advisers […]

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ESMA Doubles Down on Data Quality

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The European Securities and Markets Authority (ESMA) released updates to its Data Quality Engagement Frameworks (DQEFs) offering firms rare visibility into how National Competent Authorities (NCAs) and ESMA assess the quality of reported data across key regulatory regimes. These updates are more than just technical guidance, they are essential for firms in scope, including those

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How to Prepare for Regulatory Examinations and Visits

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Firms must proactively prepare for regulatory exams and visits as part of their business-as-usual compliance strategy. SEC examinations tend to be comprehensive, complex, and demanding, requiring compliance officers to demonstrate their deep understanding of business operations, financial transactions, and compliance procedures, across the business. FCA visits and inquiries, while typically less comprehensive, nevertheless may require

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Case Study: Leveraging Technology to Optimize Hedge Fund Compliance

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Company: A multi-billion-dollar hedge fund specializing in alternative investments, managing a diverse portfolio across multiple asset classes. Location: United States Financial Services Sector: Investment Management / Hedge Fund Background The firm had grown to over $12 billion in AUM with a team of 80+ employees. Over time, its compliance processes became increasingly fragmented, relying on

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Independent AML Testing Best Practices

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Independent testing is a critical component of an effective anti-money laundering (AML) compliance program. It ensures that internal controls are operating as intended and that your firm’s compliance efforts align with regulatory expectations.  This requirement is mandated under several international rules, including the U.S. Bank Secrecy Act, the new FinCEN AML Rule, UK Regulation 21

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Greenwashing Under the Microscope

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Greenwashing, the act of misrepresenting ESG and/or sustainability practices, whether intentionally or unintentionally, has been a trending topic in news stories. However, misleading claims are not new to the financial sector or asset managers. Securities regulators around the globe are paying particular attention to potential instances of greenwashing in order to protect investor capital. This

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Annual GIPS Compliance Notification Deadline is June 30

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Organizations that claim compliance with the Global Investment Performance Standards (GIPS®) are required to notify the CFA Institute via the GIPS Compliance Notification Form by June 30, 2025, and include data as of December 31, 2024. Note that the form can be submitted anytime between now and June 30 and is not dependent upon completion of an

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Tech-Driven Compliance as a Competitive Differentiator

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A tech-enabled compliance program is about more than just operational efficiency—it can become a competitive advantage. The shift from manual processes to tech-enabled solutions is reshaping how firms make compliance programs more efficient, transparent, and proactive. By automating routine tasks, compliance teams can shift their focus to high-value activities which drive business growth. A well-run,

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CISA Warns of Russian Espionage: Key Actions for At-Risk Organizations

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The National Cybersecurity & Infrastructure Security Agency (CISA) along with partner organizations, published a joint advisory with partner organizations on May 21, 2025, detailing an ongoing cyber espionage campaign carried out by a Russian military unit. The group, known in cybersecurity circles as APT28, Fancy Bear, Forest Blizzard, and Blue Delta, has been actively targeting

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10 Ways Compliance is Evolving: Insights from the 2025 ACA Conference

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ACA’s 2025 Conference brought together hundreds of compliance professionals, executives, and thought leaders to explore the most pressing issues shaping the financial services industry. Across dozens of sessions, expert speakers and engaged attendees explored the evolving regulatory outlook, the growing influence of technology, emerging fund strategies, and the shifting demands on compliance teams. From these

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