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 SEC Proposes Big Changes to the Custody Rule

Responding to changes in "technology, advisory services, and custodial practices," the SEC’s proposal expands the current rule’s coverage to all client assets where the adviser has custody.

Compliance Alert
  • Compliance
  • SEC
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SEC Amends Rule 15c6-1 to Reduce Settlement Time

The SEC recently adopted an amendment to reduce the time to settle a security purchase or sale from T+2 to T+1 and added Rule 15c6-2.

Compliance Alert
  • Compliance
  • SEC
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Tip for Updating Your Compliance Program: MNPI Compliance Issues

In the third article in our series of tips for understanding the SEC's 2023 focus areas, we discuss our recommendations for MNPI and Code of Ethics compliance.

Article
  • Compliance
  • SEC
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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
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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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