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
The SEC's new Rule 13f-2 requires institutional investment managers to file Form SHO starting January 2, 2025.
Key considerations for fundraising, marketing, and launching with confidence.
Each quarter, we'll provide you with timely updates, insights, and best practices to help you stay ahead of regulatory changes and ensure compliance.
Essential GRC checklist for FCA and SEC compliance to help you launch your venture successfully
Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from October through December 2024.
Investment adviser registration in the U.S. can be a long and arduous process. Download our guide to understand the process.
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.