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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The FCA’s 2023/24 Business Plan: Stop Me If You’ve Heard This One Before…

The FCA released their 2023/24 Business Plan on 5 April 2023 detailing the actions the UK regulator aims to take over the next 12 months.

Compliance Alert
  • FCA
  • Compliance
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U.S. Regulatory Update – April 2023 Edition

This update includes tips for a stellar compliance program review, the download on the recent banking sector volatility, a reminder about Form BE-12 filing obligations, and more.

Newsletter
  • Compliance
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SEC Proposed Order Competition Rule

The SEC proposed to amend the order competition requirements of the National Market System, which would promote competition and protect individual investors.

Compliance Alert
  • Compliance
  • SEC
Will SM&CR Pass its own fit and proper test

Will SM&CR Pass Its Own Fit and Proper Test?

SM&CR is being assessed by the FCA, PRA, and HM Treasury and invites stakeholder views on areas of potential change, specifically the effectiveness, scope, and proportionality of SM&CR and "other improvements" to SM&CR.

Compliance Alert
  • Compliance
  • FCA
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Tip for Updating Your Compliance Program: Prohibited Transaction Exemption

To receive prohibited compensation, investment advisers and broker-dealers must comply with DOL's PTE 2020-02, including impartial conduct standards, required disclosures, policies, and an annual review.

Article
  • Compliance
ecomms surveillance

Tip for Updating Your Compliance Program: Electronic Communications

The SEC will investigate advisers' use of electronic communication platforms. Advisors should review policies, poll employees, test email domains, and train staff to avoid penalties.

Article
  • eComms Surveillance
  • Compliance
  • RegTech
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Events

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