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 risk alert outlines observations made during SEC examinations of Rule 606(a) disclosures since the first quarter of 2020, noting issues with firms' material aspects disclosures.
We examine how 2022's economic downturn impacted compliance companies, and explore how changing market conditions can create opportunities for new efficiencies.
- Managed Services
We discuss the latest Risk Alert from the SEC’s Division of Examinations, the DOL’s change of heart on ESG for plan investments, and the SEC’s rule proposals to change the equity markets.
As fiduciaries become increasingly subject to SEC inspection, ERAs should consider adopting compliance policies and procedures relevant to their operations to mitigate regulatory risks.
The SEC released an updated FAQ on January 11, 2023 clarifying requirements around gross and net performance obligations for one investment or a group of investments (i.e., extracted performance).
- SEC Marketing Rule
Investment advisers must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from January through March 2023.
- Regulatory Deadlines