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

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Transaction Reporting: A Common Good, Commonly Wrong

Startling findings have detected that most firms are struggling with their transaction reporting obligations under MiFIR / EMIR. Results reveal more than 6M transaction reporting errors identified across a sample of 30 review projects, averaging 200,000 errors per review. This means that regulators are not receiving the data they need to successfully identify market abuse and systemic risk.

Article
  • Compliance
  • FCA
  • Trade & Transaction
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NFA Revises Key Financial Balances for Pool Financial Statements Filing for CPOs

The NFA has recently made changes to the annual pool financial statements filings required for all registered CPOs that operated a commodity pool in 2021.

Compliance Alert
  • Compliance
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UK Authorities Reboot Financial Promotions Rules, Including Cryptoassets

Both the UK's HM Treasury and Financial Conduct Authority have taken aim at the perceived weaknesses of financial promotions, including cryptoassets. With this increasing focus on marketing and advertising rules, we outline measures that firms should take note of, and provide next steps for reviewing arrangements and strategies.

Compliance Alert
  • FCA
  • Compliance
Cement Room

SEC Signals Desire for Reevaluation of Private Markets Regulation

Public remarks show that growth of the private markets industry is spurring interest by SEC senior staff. What does this mean?

Article
  • Compliance
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Insider Trading: Recent SEC Charges Present Cautionary Lessons

Many private markets fund managers don’t think they need insider trading prevention controls but, investment in privately-held companies can have risk exposure.

Article
  • Compliance
Cement Room

Preparing to Comply with the SEC’s New Marketing Rule

The SEC's New Marketing Rule compliance deadline is November 4, 2022 - closer than you think. In this article, we outline our implementation action plan.

Article
  • Compliance
  • Performance

Events