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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Regulation Best Interest Assessment and the Next Frontier

Now that Reg BI has been in place for almost three years, the industry has received a few waves of feedback from the regulators through enforcement actions, arbitrations and additional guidance. We break them down in this article.

Article
  • Compliance
  • SEC
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U.S. Regulatory Update – June 2023 Edition

This month's update includes insights regarding the SEC’s largest whistleblower award, FINRA’s first expulsion for firm’s Reg BI failures, and more.

Newsletter
  • Compliance
  • SEC
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SEC Spotlights Testimonials, Endorsements, and Third-Party Ratings in Latest Exam Risk Alert

The SEC is examining investment advisers' compliance with the Advisers Act Marketing Rule. Advisers should be prepared for comprehensive examinations of their marketing practices.

Compliance Alert
  • Compliance
  • SEC
  • SEC Marketing Rule
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EU/UK Announce Memorandum of Understanding – What does that mean for Financial Services Firms?

In May the EU and UK announced a draft MoU for regulatory cooperation in financial services, establishing a framework for close cooperation and avoiding regulatory divergence.

Compliance Alert
  • Compliance
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Tips for Updating Your Compliance Program: Shareholder Reporting Requirements and Amendments to Advertising Rules

The SEC's new rule amendments for mutual funds and ETFs aim to provide concise shareholder reports and require physical delivery instead of online posting.

Article
  • Compliance
  • SEC
  • Mutual Fund
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SEC Staff Bulletin – Standards of Conduct for Broker-Dealers and Investment Advisers Care Obligations

The SEC issued guidance on the Care Obligation of Reg BI, emphasizing understanding risks, obtaining investor information, considering alternatives, and exercising caution with complex products.

Article
  • SEC
  • Compliance
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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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