Compliance Insights and Alerts

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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

curved glass building looking up at a blue sky

SEC Examinations Division to Evaluate Firms’ Readiness for T+1

The SEC Examinations Division issued a risk alert reminding broker-dealers, clearing agencies, and investment advisers of their new obligations in connection with the transition to T+1 settlement of certain securities transactions.

Compliance Alert
  • Compliance
  • SEC
curved glass building looking up at a blue sky

2024 Investment Management Compliance Testing Survey Now Open

This survey, now in its 19th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.

Survey
  • Compliance
2024 ACA Conference

Highlights From the 2024 ACA Conference

As the curtains close on the ACA Conference 2024, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.

News
  • Compliance
  • RegTech
  • Cybersecurity
  • ESG
  • Performance
  • Managed Services
  • SEC
City at sunset

FCA Interim Update - Asset Management & Alternatives Supervisory Strategy

The FCA recently released a Dear CEO letter interim update to reinforce their continued focus on protecting investors and customers from poor outcomes and upholding market integrity.

Compliance Alert
  • Compliance
  • FCA
  • ESG
December

Implementation Challenges of the Private Fund Adviser Rules for Large Private Equity Advisers

We drill down into the challenges specific to large private equity firms when implementing the Private Fund Adviser Rules.

Article
  • Compliance
  • Private Fund
  • SEC
  • Performance
London at night

The FCA’s 2024/25 Business Plan: Maintaining Focus and Resiliency Amid Ongoing Economic and Geopolitical Uncertainty

The FCA unveiled its Business Plan for 2024/25 providing a roadmap for its actions in support of its strategic objectives for the upcoming fiscal year.

Compliance Alert
  • Compliance
  • ESG
  • FCA
  • Trade Surveillance
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Events

Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night

Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.

Webcast
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