PEI Private Fund Compliance Regulatory Forum
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!
Conference
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
Warning! Could a Political and Economic Omnishambles be Brewing for the Private Markets?
With an economic storm stemming largely from political ideology, we examine what impact this geopolitical and macroeconomic uncertainty has on the private markets.
Article
- Compliance
- FCA
- SEC
- Managed Services
The Global GRC Risks of Unauthorized Business Communication Channels
Communication has always been integral to the investment world and, as technology evolves and expands, the need for adequate and equally evolved surveillance mechanisms has grown.
Compliance Alert
- Compliance
- RegTech
- ComplianceAlpha
- FCA
- SEC
FINRA Provides Guidance on Succession Planning
FINRA has issued Regulatory Notice 22-23 to highlight the benefits of registered representative (RR) succession planning for customers, member firms, and the representatives themselves.
Article
- Compliance
FCA Fines UK Regulated Bank £1.5m for Poor Anti-Money Laundering Checks
The FCA recently fined a UK regulated bank £1.5 million for significant weakness in its financial crime systems and controls, having found serious shortcomings across the banks Anti-Money Laundering (AML) and Politically Exposed Persons (PEP) procedures.
Compliance Alert
- FCA
- Compliance
FINRA’s Amendments to Continuing Education Take Effect January 1st
Beginning in 2023, all registered representatives will be required to complete their CE Regulatory Element training annually by the end of each year.
Compliance Alert
- Compliance
SEC Proposes New Outsourcing Regulation for Advisers
The proposed rule requires investment advisers to ensure that third-party service providers can do their job before, and periodically after, being hired.
Compliance Alert
- Compliance