PEI Private Fund Compliance Regulatory Forum
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!
Conference
Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
Tip for Updating Your Compliance Program: SEC Focus on Hedge Clauses
In the first article in our series of tips for understanding the SEC's 2023 focus areas, we discuss the regulator's focus on hedge clauses in advisory agreements.
Article
- Compliance
SEC Regulation Best Interest (Reg BI) Exam Observations Risk Alert
The SEC Division of Examinations issued a risk alert describing its observations of Regulation Best Interest deficiencies during broker-dealer exams.
Compliance Alert
- SEC
- Compliance
U.S. Regulatory Update – February 2023 Edition
This month we share updates about the SEC’s amendments to Rule 10b5-1 related to corporate issuer insider trading programs, the several new state privacy law taking effect this year, and more.
Newsletter
- SEC
- Compliance
The Importance of Insider Trading Controls for Private Markets
The risk of involvement in insider trading has intensified for private markets fund managers, who often underestimate their exposure to insider information.
Article
- Managed Services
- Compliance
- RegTech
- ComplianceAlpha
The SEC’s 2023 Exam Priorities
The SEC's Division of Examinations released its annual exam priorities, which focus on compliance, fraud prevention, risk monitoring, and informing policy.
Compliance Alert
- Cybersecurity
- SEC
- Compliance
- ESG
Amendments to Rule 17a-4 Electronic Recordkeeping Requirement
The SEC adopts amendments to broker-dealer electronic recordkeeping requirements, which reflect technological developments and address some of the outdated books and records requirements.
Compliance Alert
- Compliance