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

ARRMA Case Study Three

Amendments to Rule 17a-4 Electronic Recordkeeping Requirement

The SEC adopts amendments to broker-dealer electronic recordkeeping requirements, which reflect technological developments and address some of the outdated books and records requirements.

Compliance Alert
  • Compliance
blue city

Survey: How Does Your Compliance Program's Resources Compare to Your Peers?

Participate in our budget and staffing survey to learn how other compliance programs are allocating their resources.

Survey
  • Compliance
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EXAMS Observations Related to Regulation NMS Rule 606 Disclosures

The risk alert outlines observations made during SEC examinations of Rule 606(a) disclosures since the first quarter of 2020, noting issues with firms' material aspects disclosures.

Compliance Alert
  • Compliance
wavy building from below

How Will the Economic Downturn Impact Compliance Teams?

We examine how 2022's economic downturn impacted compliance companies, and explore how changing market conditions can create opportunities for new efficiencies.

Article
  • Compliance
  • Managed Services
ACA

U.S. Regulatory Update – January 2023 Edition

We discuss the latest Risk Alert from the SEC’s Division of Examinations, the DOL’s change of heart on ESG for plan investments, and the SEC’s rule proposals to change the equity markets.

Newsletter
  • Compliance
  • ESG
building corner from below

2023 FINRA Regulatory Filings Calendar for Broker-Dealers

Prepare for the year ahead with our calendar of key FINRA regulatory filing deadlines in addition to other responsibilities at a glance to help you track your firm’s regulatory obligations.

Article
  • Regulatory Deadlines
  • Compliance
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Events

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