Insights
Tips for Designing Policies and Procedures to Mitigate Compliance Risks
The first step to design or review a compliance program is performing a risk assessment and gap analysis.
- Compliance
- SEC
- FCA
Key Trends and Takeaways From the FCA’s 2024 STOR Report
The FCA released its annual report detailing the number of suspicious transaction and order reports.
- Compliance
- FCA
Your Guide to a Compliance Testing Action Plan
Maintaining a strong compliance program requires regular testing. Download our plan to ensure robust testing.
- Compliance
- Cybersecurity
- Performance
- Portfolio Company Risk Management
- Privacy
- Trade Surveillance
Understanding Suspicious Activity Reports (SARs): A Guide for RIAs
SARs are key to AML and CFT compliance, helping RIAs meet FinCEN regulations and mitigate financial risks.
- AML and Financial Crime
The Impact of Bermuda's PIPA on the Global Privacy Landscape
PIPA is likely to have a significant impact on firms that operate or are headquartered in Bermuda and firms that are tangentially associated with the country.
- Privacy
Q2 2025 Regulatory Reporting Deadlines
Financial firms must meet various regulatory filing requirements throughout the year. These are the regulatory filing submission deadlines occurring from April through June 2025.
- Compliance
- SEC
- FCA
- FINRA
- Regulatory Deadlines
Maximizing Preparedness: Get Ahead of the 2025 SEC Exams
Why a mock exam is a game-changer
- Compliance
- SEC
Six Million Records Potentially Compromised in Oracle Cloud Breach
A threat actor is selling authentication records exfiltrated from Oracle Cloud, suggesting a breach of Oracle Cloud’s Single Sign On and Lightweight Directory Access Protocol systems.
- Cybersecurity
Critical Security Flaw in Veeam Backup & Replication
The risk of data loss, privilege escalation, and ransomware attacks makes immediate remediation essential.
- Cybersecurity
SEC Marketing Rule FAQs for Gross and Net Performance of Extracted Performance
The FAQ clarifies how to show gross and net performance of extracted performance and performance characteristics.
- Performance
- Compliance
- SEC Marketing Rule
- SEC