Compliance Insights and Alerts

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 Approves Amendments to FINRA Rule 2231

The SEC approved a rule change to amend FINRA Rule 2231 with respect to Customer Account Statements. FINRA will announce the proposed change’s effective date shortly.

Compliance Alert
  • Compliance
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Hedge Fund Quarterly Update 2022 Q1

We are pleased to provide this latest update to keep you apprised of regulatory developments in the private fund and liquid alternatives space.

Article
  • Compliance
ACA

Private Markets Quarterly Update 2022 Q1

Learn more about recent regulatory developments industry insights in our Private Markets Quarterly Newsletter.

Article
  • Compliance
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Crypto Asset Meltdown May Have Far-Reaching Implications

Various regulators are working to clarify and expand their authorities over cryptocurrency assets, but with over $2 trillion in value wiped out since November 2021, market dynamics are driving changes faster than the regulators.

Article
  • Compliance
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What’s in the Updated UK Regulatory Initiatives Grid?

UK regulators and governing bodies recently published a coordinated approach for regulatory initiatives and a revised pipeline for financial services regulation over the next 24 months. We outline what these changes mean for firms, and what they need to plan for in the coming months to be sure to stay in line with regulatory expectations.

Compliance Alert
  • Compliance
  • ESG
  • FCA
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ComplianceAlpha Solves for MNPI and Code of Ethics Deficiencies

The SEC recently released a risk alert highlighting deficiencies in the areas of MNPI and the Code of Ethics Rule.

Article
  • RegTech
  • Compliance
  • ComplianceAlpha

Events