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

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Sharpen Your Pencils: Form ADV Updates are Due March 30

Advisers with a December 31 fiscal year end must file the annual amendment to Form ADV by March 30. Here are a few things to keep in mind when preparing the update.

Article
  • Compliance
  • SEC
December

Benchmarking Insights: Tracking the Impact of the Private Fund Adviser Rules

We captured insights into the Private Fund Adviser Rules through a series of polling questions and examine what they mean for firms.

Article
  • Private Fund
  • SEC
  • Compliance
  • Performance
ecomms surveillance

Surveillance Program Gap Analysis Checklist

Download our checklist to ensure your surveillance program can weather changing the risk environment.

Article
  • ComplianceAlpha
  • Compliance
  • eComms Surveillance
  • Trade Surveillance
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New Requirements for Broker-Dealer Execution Quality Reports

Amendments to Rule 605 also require attention from Investment Advisers and Investment Company Directors

Compliance Alert
  • Compliance
  • Broker-Dealer
  • SEC
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U.S. Regulatory Update – February 2024

This update covers new rules for asset-backed securities transactions, tips for filing Form ADV, FINRA's new rules for home offices and the remote office inspection program, the Corporate Transparency Act, and more.

Newsletter
  • Compliance
  • SEC
  • FINRA
Will SM&CR Pass its own fit and proper test

The FCA Proposes a New Approach to Publicise Investigations

The FCA’s recent proposal to publicise investigations should prompt investment firms to take a fresh look at compliance culture, platforms and testing.

Compliance Alert
  • FCA
  • Compliance

Events