Industry Insights

The AI Security Inflection Point: What the Frontier AI Era Means for Firms

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AI Is Compressing Cyber Risk and Most Firms Aren’t Ready Advances in AI are dramatically shrinking the time it takes to identify and exploit vulnerabilities. What once played out over months can now happen in days. At the same time, AI is no longer just a tool. It’s becoming embedded inside enterprise environments, interacting with […]

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Maintaining Regulatory Readiness During a CCO Transition

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Introduction Chief Compliance Officer (CCO) transitions can create significant operational and regulatory challenges for investment advisers. During a leadership transition, firms must maintain oversight of their compliance programs, meet applicable regulatory obligations, and support day-to-day business operations. Many firms address this risk by engaging an interim CCO or experienced compliance professional to maintain continuity while

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Crypto Firms Face More Than Financial Crime Challenges

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For the past several years, the UK’s approach to regulating cryptoassets has centered on one primary objective: reducing financial crime. Firms seeking authorisation under the Money Laundering Regulations invested heavily in customer due diligence, sanctions screening, transaction monitoring, and AML controls. Those obligations remain essential, but they no longer define the full scope of regulatory

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Your Step-by-Step Guide for Registering a New Private Fund

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Launching a private fund is an important step for emerging investment managers. Navigating registration requirements can also be complex. From determining whether you need SEC or state registration to preparing core compliance documents like Form ADV, many managers face challenges that can delay their fund launch or create unnecessary regulatory risk. Are you wondering: Does

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Critical WordPress Remote Code Execution Vulnerability (“wp2shell”) Affects 500+ Million Websites

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Key Takeaways A critical WordPress core vulnerability chain could enable unauthenticated remote code execution. Public proof-of-concept exploit code is available. No plugins, credentials, or user interaction are required for exploitation. Organizations should apply vendor-recommended updates immediately. Temporary mitigations should only be used until patches can be deployed. Beyond addressing the immediate vulnerability, organizations should evaluate

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How AI Is Changing the Rules of Cyber Insurance

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More firms in the investment management industry are using AI than ever before. AI tools are helping teams summarize research, monitor threats, automate workflows, and strengthen cyber defenses. But as adoption grows, so do new risks, including autonomous systems operating outside intended boundaries, AI-generated errors or hallucinations, generative AI-powered attacks, and uncertainty over who is

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Why FCA Crypto Authorisation Is More Than an Application Exercise

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Crypto regulation in the UK is entering a decisive phase. As the FCA develops its future cryptoasset framework, attention is naturally turning towards authorisation. Firms are trying to understand what permissions they may need, when the authorisation gateway will open, and how the new regime could affect their business models. What many firms may underestimate

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A Cybersecurity Playbook for the First 100 Days After M&A

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When a merger or acquisition (M&A) transaction closes, private equity firms, corporate acquirers, investment firms, and strategic buyers inherit more than assets and people. They also inherit a significant portion of the target’s cybersecurity posture, including vulnerabilities, compliance gaps, shadow IT, third-party exposures, and, in some cases, an undetected breach already in progress. For private

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How Retailization Is Reshaping Private Fund Marketing Compliance

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Over the past decade, registered fund structures have gradually become a core distribution strategy for private fund managers. Feeder vehicles, non-traded real estate investment trusts, BDCs, and platform-based arrangements all broadened retail participation. But they also exposed a problem: a disconnect between a message that has traditionally been prepared for sophisticated investors and the needs,

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FCA Sanctions Controls and the Multi-Billion-Pound Challenge

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What Should Firms Do Following the FCA’s Sanctions Review? Following the FCA’s sanctions review, firms should assess whether their sanctions risk assessment, due diligence, screening, alert management, governance, and management information are effective. Firms should also review whether sanctions risk is integrated across investor onboarding, counterparty relationships, custody chains, delegation models, and payment flows. The

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