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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SEC Strategic Plan: More Enforcement, More Rules, and More Technology

The SEC issued its four-year strategic plan for 2022-2026. We summarize the goals of the plan and explore what it means for the next four years.

Compliance Alert
  • Compliance
  • SEC
  • Cybersecurity
  • ESG
  • RegTech
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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
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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. More widespread use of mobile apps and communication tools such as WhatsApp became increasingly prevalent during the various COVID lockdowns as professionals sought to maintain connection with one another. Habits are quickly formed, and so convenient mobile app usage has become an integrated part of work communications.

Compliance Alert
  • Compliance
  • RegTech
  • ComplianceAlpha
  • FCA
  • SEC
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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
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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
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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
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Events

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