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

December

Private Fund Restricted Activities and Preferential Treatment Rules Breakdown

The Restricted Activities Rule focuses on transparency, disclosures, and consent while the Preferential Treatment Rule bans private fund advisers from providing preferential information to investors.

Article
  • Private Fund
  • SEC
  • Compliance
December

Private Fund Quarterly Statement Rule Breakdown

The Private Fund Quarterly Statement Rule requires a quarterly statement that includes information regarding fees, expenses, and performance to the private fund’s investors.

Article
  • Compliance
  • Performance
  • Private Fund
city streets at night from above

2024 FINRA Regulatory Filings Calendar

Prepare for the year ahead with our FINRA regulatory filings calendar. Our at-a-glance calendar provides key reporting deadlines and on-going and annual regulatory obligations in an easy to understand format.

Article
  • Compliance
city streets at night aerial view

2024 Regulatory Filings Calendar for Investment Advisers

Our calendar provides key reporting deadlines and regulatory obligations for investment advisers registered with the SEC, CFTC, NFA, UK FCA, and ESMA.

Article
  • Compliance
  • SEC
  • FCA
curved glass building looking up at a blue sky

Reporting of Securities Lending Transactions

The SEC recently approved a rule requiring securities lending transactions to be reported to FINRA within 15 minutes of completion.

Compliance Alert
  • Compliance
December

Demystifying the Private Fund Adviser Rules

The Private Fund Adviser Rules significantly impact how firms deal with investors, including requiring increased disclosure of fees and expenses, investments, and performance.

Article
  • Private Fund
  • Compliance
  • Performance
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Events

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