GRC News | Financial Industry Insights

Tips for Preparing Your SEC Form ADV 2025 Update

March 3, 2025

We are in the midst of the Form ADV season, and advisers with a December 31st fiscal year end are...

Article

Compliance, SEC

Building an Effective Compliance Program – Whitepaper

February 21, 2025

In the complex and dynamic world of investment management, a robust compliance program can be not only a regulatory requisite,...

Article

Compliance, FCA, SEC

2025 FINRA Annual Regulatory Compliance Oversight Report

February 19, 2025

On January 28, 2025, the U.S. Financial Industry Regulatory Authority (FINRA) released its Annual Regulatory Oversight Report. This report provides...

Compliance Alert

Compliance, FINRA

The SEC’s Valentine’s Day Gift to Asset Managers: An Extension of the Short Sale Reporting Deadline

February 14, 2025

This Valentine’s Day, the U.S. Securities and Exchange Commission (SEC) gave asset managers a sweet surprise in the form of...

Article

Compliance, Regulatory Deadlines, SEC

Case Study: Comprehensive GIPS Management and Oversight

February 12, 2025

Company: Private credit fund and SMA manager Location: U.S. Financial Services Sector: Private credit Background A private credit firm needed...

Case Study

GIPS Standards, Performance

Fraudsters Actively Impersonating Financial Services Executives: Firms Should be on High Alert for Similar Attacks

February 7, 2025

Multiple firms have notified us that their executives and other employees are being impersonated in WhatsApp messaging scams that have...

Cyber Alert

Cybersecurity

Urgent Patching Required to Address 7-Zip Mark-of-the-Web Bypass Vulnerability (CVE-2025-0411)

February 6, 2025

Read about the 7-Zip mark-of-the-web bypass vulnerability (CVE-2025-0411) and learn how to protect your assets with our expert guidance on urgent patching.

Cyber Alert

Cybersecurity

Case Study: Streamlining Investment Performance Calculations and Vendor Due Diligence

February 4, 2025

Company: Large private markets fund of fund manager with $100 Billion in AUM Location: Global Financial services sector: Private markets...

Case Study

Performance, SEC Marketing Rule

ILPA’s Revised Reporting Template for the Private Equity Industry

January 31, 2025

The Institutional Limited Partners Association (ILPA) released a new version of the ILPA Reporting Template on January 22, 2025 to...

Compliance Alert

Performance

Bridging ESG Data Gaps with Technology

January 30, 2025

Aligning environmental, social, and governance (ESG) data with investor and regulatory expectations is a complex goal. Investors are demanding detailed...

Article

ESG