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

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Tip for Updating Your Compliance Program: Continuing Education Requirements

In the second article in our series of tips for understanding the SEC's 2023 focus areas, we discuss our recommendations for keeping tabs on continuing education requirements.

Article
  • Compliance
  • SEC
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Tip for Updating Your Compliance Program: SEC Focus on Hedge Clauses

In the first article in our series of tips for understanding the SEC's 2023 focus areas, we discuss the regulator's focus on hedge clauses in advisory agreements.

Article
  • Compliance
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SEC Regulation Best Interest (Reg BI) Exam Observations Risk Alert

The SEC Division of Examinations issued a risk alert describing its observations of Regulation Best Interest deficiencies during broker-dealer exams.

Compliance Alert
  • SEC
  • Compliance
summer regulatory update

U.S. Regulatory Update – February 2023 Edition

This month we share updates about the SEC’s amendments to Rule 10b5-1 related to corporate issuer insider trading programs, the several new state privacy law taking effect this year, and more.

Newsletter
  • SEC
  • Compliance
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The Importance of Insider Trading Controls for Private Markets

The risk of involvement in insider trading has intensified for private markets fund managers, who often underestimate their exposure to insider information.

Article
  • Managed Services
  • Compliance
  • RegTech
  • ComplianceAlpha
SEC building

The SEC’s 2023 Exam Priorities

The SEC's Division of Examinations released its annual exam priorities, which focus on compliance, fraud prevention, risk monitoring, and informing policy.

Compliance Alert
  • Cybersecurity
  • SEC
  • Compliance
  • ESG
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