Compliance Insights and Alerts

March 22, 2021

The long-awaited modernization of the Marketing Rule was added to the Federal Register on March 5, 2021. Not only does the final marketing rule consolidate the advertising and cash solicitation rules, it also (among other things) categorizes certain considerations for presenting investment performance, effectively streamlining guidance currently found across multiple staff letters.

March 17, 2021

A recent flurry of activity from the SEC has made it crystal clear that ESG will be a top priority in the near and long term.

March 11, 2021

With the FCA confirming dates for the cessation of panel submissions for LIBOR settings, the markets have received some much-needed clarity on fast-approaching deadlines around the transition away from LIBOR. We examine what firms must do next.

March 11, 2021

FINRA recently released its Risk Monitoring and Examination Activities Report, which provides guidance on FINRA’s current examination priorities and describes its examination findings during 2020.

March 10, 2021

The SEC's Division of Examinations recently released their 2021 examination initiatives. This year, the Division singled out mutual funds and ETFs in its discussion.

March 09, 2021

On March 3, 2021, the U.S. Securities and Exchange Commission’s Division of Examinations released their FY2021 Examination Priorities. The Priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. The 2021 Priorities reflect a significant shift and increased focus on climate and environmental, social, and governance (ESG) related risks and strategies.