Compliance Insights and Alerts

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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

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Peer Analysis Infographic | MIFIR Transaction Reporting: Perception vs. Reality

When it comes to MiFIR Transaction reporting how confident are you? Or more importantly, how confident should you be? Our peer analysis infographic reveals worrying results that suggest that most firms still have a long way to go

Article
  • Compliance
  • Trade & Transaction
  • Managed Services
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How Does Recent Guidance on Principal and Cross Trades Apply to Real Estate and Private Equity Advisers?

On July 21, 2021, the Division of Examinations released the "Cross Trade Risk Alert". Although this risk alert is focused on fixed income investments, what can real estate and private equity managers, including those that do not invest in fixed income instruments, learn from this risk alert and other SEC staff activities related to principal and cross trades?

Article
  • Compliance
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SEC Charges RIAs + Broker-Dealer Firms for Failure to File + Deliver Form CRS

The SEC announced that 27 firms violated the Investment Advisers Act of 1940 and the Exchange Act, failing to file and deliver customer relationship summaries to their retail investors in a timely manner.

Article
  • SEC
  • Distribution
  • Compliance
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FCA Clears the Way for Potentially Greater UK SPAC Issuance

With a growing European SPACs market and the UK's goal to make London more attractive to compete with other markets around the world, we outline key considerations for firms ahead of new SPACs listing rules coming into force on 10 August in the UK

Compliance Alert
  • Compliance
  • Brexit
  • Managed Services
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Achieving Differentiated Support for Private Equity Firms

Fundraising and compliance challenges are expected to increase for private equity firms in the second half of 2021 into 2022. We speak with Private Equity Wire about why support that blends practical and regulatory advice is becoming critical.

Article
  • Compliance
  • ComplianceAlpha
  • ESG
  • Cybersecurity
  • RegTech
  • Mirabella
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FINRA Amends Rules 5122 and 5123 Filing Requirements to Include Retail Communications that Promote or Recommend Private Placements

On July 15, 2021, FINRA issued Regulatory Notice 21-26 to announce new amendments to Rules 5122 and 5123. Under the revisions, broker-dealers must file retail communications that promote or recommend private placement offerings subject to the rules’ filing requirements as of October 1, 2021.

Compliance Alert
  • Performance
  • Compliance
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