PEI Private Fund Compliance Regulatory Forum
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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
The Increasing Importance of Robust Insider Trading Controls at Private Markets Fund Managers
Private markets fund managers have underestimated insider trading risks due to their limited involvement in public markets, but increasing interactions with public companies and expert networks have heightened exposure to material nonpublic information (MNPI).
Article
- Compliance
U.S. Regulatory Update - Summer 2023
This edition includes updates to the SEC’s rulemaking calendar, recent money market fund reforms, FINRA's recent financial reports, and more.
Newsletter
- SEC
- Compliance
Private Fund Managers Should Reevaluate their Approach to Side Letter Management Amidst Increased Scrutiny
Regulators are increasingly focusing on side letter compliance during their examinations of private fund managers. This article provides practical solutions and strategies to effectively monitor and manage side letter obligations.
Article
- Compliance
SEC Proposes Rule to Limit Conflicts of Interest in AI-Based Investor Engagement Tools
The SEC proposed two new rules to put guardrails around the use of predictive data analytics by broker-dealers and investment advisers. The goal is to limit the use of technology in ways that favor financial firms’ interests.
Cyber Alert
- Compliance
- Cybersecurity
- Privacy
MiFID Research Bundling: Will the Expired Relief for U.S. Broker-Dealers be Reinstated?
MiFID II reformed research payment practices in Europe, but the expiration of relief from the SEC has prompted a bill in the U.S. House of Representatives to extend it for six months, aligning with potential changes in the regulations by the UK and EU.
Compliance Alert
- Compliance
- SEC
- Broker-Dealer
Industry Insights: Mansion House Speech Highlights Potential for the UK Markets
Will the UK Chancellor’s new packages of pension reforms boost the UK markets and open up new opportunities for investment into UK Growth Companies?
Article
- Compliance
- FCA