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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Finding Stability in an Unpredictable World

We examine the challenges set to face firms over the next twelve months, including ESG, equivalence vs. divergence, the new world of work, transaction reporting, market surveillance, cyberthreat trends, the SEC’s new marketing rule, post-COVID recovery, the future of regulatory hosting, as well as FCA and SEC priorities.

Article
  • FCA
  • SEC
  • ESG
  • SEC Marketing Rule
  • Compliance
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New Marketing Rule Challenges for Real Estate Advisers

Advisers that focus on real estate strategies are working through some unique issues as they prepare to implement the provisions of the rule.

Article
  • Compliance
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Future-Proofing Compliance Best Practices with Technology

Shifting demands in regulators on financial services firms have elevated the importance of compliance to best practices. Learn what compliance officers are focused on in their surveillance processes.

Article
  • RegTech
  • ComplianceAlpha
  • Compliance
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SEC Enforcement Action for Violating Reg BI Standards

The U.S. SEC filed an enforcement action against a broker-dealer and five of its registered representatives for violating certain provisions of Regulation Best Interest

Compliance Alert
  • SEC
  • Compliance
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2022 Investment Management Compliance Testing Survey Results Released

For the second year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one worry for investment adviser compliance officers, according to the 2022 Investment Management Compliance Testing Survey.

Press Release
  • Compliance
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Q3 2022 Regulatory Reporting Deadlines

SEC, FCA, ESMA, FINRA, and CFTC/NFA regulatory filing submission deadlines occurring from July through September 2022.

Article
  • Compliance

Events