PEI Private Fund Compliance Regulatory Forum
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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
SFC Consultation on Fund Manager Code of Conduct (FMCC): 10 key points
The Securities and Futures Commission (SFC) of Hong Kong published the conclusion to proposed changes in its Fund Manager Code of Conduct last November, helping to clarify a few remaining areas of contention following its original consultation paper. We have produced a quick summary of the ten key points you need to know from the consultation conclusions on Asset Management regulation.
Article
- Compliance
GDPR DDQ Now Available for Assessing Vendors' GDPR Compliance
ACA announces GDPR-specific due diligence questionnaire (DDQ) for vendors and third parties.
Press Release
- Privacy
- Compliance
- Cybersecurity
So You Survived Year-End Compliance Testing — But are You Ready for What’s Next?
Compliance professionals have had a busy year so far, but the tasks and testing will continue to increase.
Article
- Compliance
Due Diligence of Research Firms and Data Providers - What Investment Advisers Need to Know
Over the past several years, the SEC, through examinations and enforcement actions, has made it clear that it expects registered investment advisers to undertake meaningful due diligence of the
Compliance Alert
- Compliance
Takeaways from the SEC’s 2019 Fiscal Year Budget Request
On February 12, 2018, the U.S.
Compliance Alert
- Compliance
FCA’s Dear CEO letter targets improved prudential processes
For the first time in some years, the Financial Conduct Authority (FCA) has written to asset managers’ CEOs on prudential matters. The letter includes a plea by the FCA for data that it, and the EBA, can rely upon when aggregating firms’ submissions to understand the macro picture.
Article
- Compliance