In the U.S., the Securities and Exchange Commission (SEC) has signaled a clear shift in focus and prioritization. Recent commentary from SEC Chair Gary Gensler indicates that the agency will likely push forward with an aggressive rulemaking agenda.
"The SEC’s Enforcement Division is the cop on the beat for America’s securities laws…As these results show, we go after misconduct wherever we find it in the financial system, holding individuals and companies accountable, without fear or favor, across the $100-plus trillion capital markets we oversee." - Chair Gary Gensler, 2021 Division of Enforcement Annual Report
Our calendar provides key reporting deadlines and regulatory obligations for asset managers registered with the SEC, CFTC, NFA, UK FCA, ESMA, DFSA, and FSRA.
With regulators like the SEC, FCA, DFSA, and FSRA maintaining strict oversight, mock exams are a proactive way to identify and address compliance gaps. Prepare now to ensure your firm is ready to meet regulatory expectations and avoid costly surprises.
We explain the benefits of this type of funding and the considerations to take into account before choosing to do so.
While different financial markets offer significant opportunities, there are a number of things to consider before launching in a new jurisdiction.
The SEC recently fined broker-dealers for SARs filings that failed to meet regulatory requirements.
The SEC's new Rule 13f-2 requires institutional investment managers to file Form SHO starting January 2, 2025.
Join us for a special live Consultant's Corner webcast where we'll discuss what firms should know about the recent deficiencies uncovered in private fund manager examinations.
Our surveillance, compliance, and technology experts will discuss the latest client communication trends in the financial industry and what solutions are available to monitor and archive those communications.
Hear from ACA’s Carlo di Florio, Mike Pappacena, and Liam Jaris as they unpack the SEC’s proposed cyber rules and amendments and describe how they can affect private fund managers.