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.!
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.
We’ve entered the fourth quarter and we understand that many firms are in a pinch to get their testing completed. To help you get started, we’ve developed an action plan to guide you through the key questions to ask as you get started on your existing testing plan or developing one.
The SEC’s Division of Trading and Markets issued a no-action letter to FINRA on September 25, 2020 confirming that the SEC staff would not recommend an enforcement action against broker-dealers trading digital asset securities that followed a three-step process.
The European Securities and Markets Authority (“ESMA”) recently published its Review Report on reforms to the Market Abuse Regulation (“MAR”). We outline the focus points and key amendments, what this means for firms and the post-Brexit impact.
On October 6, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved a final rule (the Fi
RiskMutation is accelerating the need for financial services firms to modernize and rethink their risk and compliance operating models through the adoption of enhanced solutions and trusted third parties.
Indications are that the SEC has begun to approve pending registrations of UK-based advisers wishing to do business in the U.S or to attract U.S. investors. We outline what this means for firms.
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!