GRC News | Financial Industry Insights

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

Case Study: Outsourcing to Streamline IRR Calculations for Fundraising Success

January 29, 2025

Company: A large private equity and private credit manager with over $20 Billion in AUM Location: Global Financial Services Sector:...

Case Study

Performance

Regulatory Considerations for Continuation Funds

January 24, 2025

High interest rates, market volatility, and various other macroeconomic factors continue to push asset managers to adapt to successfully carry...

Article

Compliance, SEC

From Policy to Practice: Building an Effective Firm-Wide Regulatory Surveillance Program

January 23, 2025

Moving from surveillance policy to practice requires focus, the right tools, and a clear understanding of your firm’s unique risks....

Article

eComms Surveillance, RegTech, Trade Surveillance