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
SEC Marketing Rule Continues to Dominate Investment Advisers' Compliance Concerns, Survey Reveals
The 2023 Investment Management Compliance Testing Survey results reveal marketing is still the top compliance concern. Cybersecurity and electronic communications follow closely behind.
Press Release
- ACA News
- Compliance
Navigating SEC Scrutiny: Enhancing The Accuracy of Fee Calculations for Private Funds
In an environment of intense regulatory scrutiny, the SEC is putting private fund managers under the microscope, focusing on fees charged to investors. In our recent article we break down the challenges and obstacles firms face as a result of these complex fees both in terms of calculations and the descriptions in the fund's governing documents.
Article
- Performance
- SEC
- Compliance
Regulation Best Interest Assessment and the Next Frontier
Now that Reg BI has been in place for almost three years, the industry has received a few waves of feedback from the regulators through enforcement actions, arbitrations and additional guidance. We break them down in this article.
Article
- Compliance
- SEC
U.S. Regulatory Update – June 2023 Edition
This month's update includes insights regarding the SEC’s largest whistleblower award, FINRA’s first expulsion for firm’s Reg BI failures, and more.
Newsletter
- Compliance
- SEC
SEC Spotlights Testimonials, Endorsements, and Third-Party Ratings in Latest Exam Risk Alert
The SEC is examining investment advisers' compliance with the Advisers Act Marketing Rule. Advisers should be prepared for comprehensive examinations of their marketing practices.
Compliance Alert
- Compliance
- SEC
- SEC Marketing Rule
EU/UK Announce Memorandum of Understanding – What does that mean for Financial Services Firms?
In May the EU and UK announced a draft MoU for regulatory cooperation in financial services, establishing a framework for close cooperation and avoiding regulatory divergence.
Compliance Alert
- Compliance