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 Examination Trends Report

We share our observations concerning the SEC's Division of Examinations' public priorities and our insights and practical considerations from recent exams.

Article
  • Compliance
  • SEC
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SEC Sends $1.1 Billion Warning to Financial Firms that Ignore Record-keeping Requirements

$1.1BN of fines were recently issued to sixteen high-profile financial services firms for communication failings, with more regulatory enforcement expected. Learn more about what this means for SEC-registered firms around the world.

Article
  • Compliance
  • RegTech
  • SEC
ACA

FAQs: Top Questions Answered About the SEC's Marketing Rule

As the compliance date of November 4th nears, confusion about the SEC's new Marketing Rule continues. We answer the most commonly asked questions about the requirements of the rule.

Article
  • SEC
  • SEC Marketing Rule
  • Compliance
  • Performance
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FCA Market Watch 70: Regulator Sharpens Claws on Inadequate Reporting Arrangements

The FCA’s Market Watch 70 takes aim at failings in trade reporting arrangements, quickly followed up with a fine to a brokerage company and its directors. We provide practical guidance on how to spot your errors before the regulators do.

Article
  • FCA
  • Trade & Transaction
  • Compliance
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SEC Reopens Select Comment Periods After Tech Glitch

The SEC reopened the public comment periods for certain proposed rules due to a technological error earlier this year. We share which proposed rules were affected and should be checked for accurate comment submission.

Compliance Alert
  • SEC
  • Compliance
  • Cybersecurity
  • ESG
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Regulatory Update October 2022

In our October Regulatory Update, we share unique insights and practical thought leadership on recent regulatory developments for investment advisers, private fund managers, broker-dealers, dual-registrants, and mutual funds.

Newsletter
  • SEC
  • Compliance
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Events

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