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
Managing the Risk of Large Language Models Like ChatGPT
Discover ways to leverage the power of LLMs like ChatGPT while protecting your organization from risks like privacy breaches, IP concerns, and quality control issues.
Article
- Cybersecurity
- Compliance
- Artificial Intelligence (AI)
Tips for Updating Your Compliance Program: Form CRS
We’ve compiled a series of tips to help you focus on the U.S. Securities and Exchange Commission (SEC) focus areas for 2023.
Article
- Compliance
- SEC
A Primer in Launching an ETF Under a Turn-Key Structure
Looking to launch an ETF? We share what you need to know to get started including costs, timing, and resources required.
Article
- Compliance
- Distribution
Tips for Updating Your Compliance Program: Fiduciary Standard
The SEC put out a Bulletin “to help insure investment professionals live up to” their obligations under Regulation BI and the Commission Interpretation Regarding Standard of Conduct for Investment Advisers (the “Fiduciary Interpretation”). We share tips for meeting these standards.
Article
- Compliance
- SEC
2023 Investment Management Compliance Testing Survey is Now Open
The survey, now in its 18th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.
Survey
- Compliance
Tip for Updating Your Compliance Program: Conflicts of Interest
The SEC makes it clear that all broker-dealers and investment advisers have conflicts of interest, and that firms must have a process to identify, mitigate, or eliminate these conflicts.
Article
- Compliance