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Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory compliance news and 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 regulatory compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
Strategies to Transform Your Compliance Program with Technology - #1: Champion(s)
Having a knowledgeable, engaged business partner behind you will help ensure that technology is implemented effectively and adopted successfully.
Article
- RegTech
- Compliance
The Corporate Transparency Act: The Latest Iteration of Customer Due Diligence in the Financial Crime Toolkit
FinCEN issued the Corporate Transparency Act to create greater transparency into the beneficial owners of small companies.
Compliance Alert
- AML and Financial Crime
- Compliance
Private Fund Adviser Rules Timeline
Download a timeline that maps out each critical phase of the SEC's Private Fund Adviser Rules and the timeframes required to meet the rule's deadlines.
Article
- Private Fund
- SEC
- Compliance
- Performance
The SEC Targets Use of Predictive Data Analytics
Predictive data analytics can have a number of great uses in the financial industry. However, the SEC recently proposed rules to ensure advisers are not using it to harm investors.
Compliance Alert
- Compliance
- SEC
- Artificial Intelligence (AI)
The CFTC Cracks Down on Recordkeeping Failures
The CFTC recently issued an order against an introducing broker and a futures commission merchant for violations of recordkeeping and supervision requirements. However, this is just one instance in the CFTC's crackdown.
Compliance Alert
- RegTech
- Compliance
U.S. Regulatory Update – October 2023
The SEC's rulemaking and enforcement activity continues unabated. This issue also covers FINRA's remote inspections request, and NASAA's Reg BI report.
Newsletter
- Compliance
- Private Fund
- SEC
- SEC Marketing Rule
- FINRA
- ComplianceAlpha