COVID-19 Resources and Insights

May 11, 2021

Regulatory change, COVID-19 fallout, and a rapidly mutating ecosystem of risks make this a challenging year for financial services firms. In our complimentary whitepaper, we examine the future of risk and compliance and how firms must respond to rapidly evolving circumstances.

February 11, 2021

As the U.S. tax filing season kicks off, it’s important to be on the lookout for tax scams, especially those related to COVID-19 or any stimulus payments. Here are our tips for staying diligent and resources to share with your employees and friends.

February 04, 2021

Business disruption, cybersecurity challenges and greater compliance burdens are well acknowledged operational challenges facing hedge fund, private equity and investment management industries. We examine how COVID-19 has heralded sweeping changes to the way financial services firms operate.

October 22, 2020

We examine recent regulatory events around trade surveillance and market abuse and provide best practices that can be applied to your firm’s surveillance program.

August 14, 2020

The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has issued a risk alert on the COVID-19-related risks, issues, and challenges faced by SEC-registered investment advisers and broker-dealers, including those resulting from the widespread use of telecommuting practices and pandemic-related market volatility.

July 16, 2020

From April 20 – May 31, ACA Compliance Group, Investment Adviser Association, and BrightSphere Investment Group ran the 15th annual Investment Management Compliance Testing Survey.