Insights
Fraudsters Actively Impersonating Financial Services Executives: Firms Should be on High Alert for Similar Attacks
Firm employees and executives are being actively impersonated in WhatsApp messaging scams causing significant financial harm to investors.
- Cybersecurity
Urgent Patching Required to Address 7-Zip Vulnerability
Attackers are exploiting a 7-Zip flaw to spread SmokeLoader malware, bypassing Windows security warnings via phishing. Users must manually update to version 24.09+ to stay protected.
- Cybersecurity
Case Study: Streamlining Performance Calculations and Vendor Due Diligence
Our investment performance team helped a fund of fund manager meet the SEC’s Marketing Rule requirements and provide outsourced performance calculations to help them expand into the SMA business.
- Performance
- SEC Marketing Rule
ILPA's Revised Reporting Template for the Private Equity Industry
The Institutional Limited Partners Association (ILPA) recently released a new version of the ILPA Reporting Template.
- Performance
Bridging ESG Data Gaps with Technology
The goal is for companies to provide transparent, robust, and comparable ESG data that meets the needs of all stakeholders. However, aligning ESG data with investor and regulatory expectations is a complex goal.
- ESG
Case Study: Outsourcing to Streamline IRR Calculations for Fundraising Success
Our investment performance team collaborated with a global private equity and credit manager to calculate IRRs and associated multiples required for meeting bank platform standards during fundraising.
- Performance
Regulatory Considerations for Continuation Funds
Asset managers are turning to GP-led secondary transactions, or continuation funds, to navigate high interest rates and limited liquidity. This growing practice helps manage illiquid assets but has raised SEC concerns over conflicts of interest and investor risks.
- Compliance
- SEC
From Policy to Practice: Building an Effective Firm-Wide Regulatory Surveillance Program
We’ve developed a comprehensive checklist to help you assess the effectiveness of your compliance oversight, monitoring, and surveillance programs.
- RegTech
- eComms Surveillance
- Trade Surveillance
SEC AML Enforcement: Do What You Say
The SEC recently brought an enforcement action against a former registered investment adviser for making AML misrepresentations to investors.
- AML and Financial Crime
- SEC
Global Lessons and Strategies for ESG Compliance
Global ESG regulations offer key lessons to help firms align practices, mitigate risks, and enhance strategy credibility.
- ESG