Insights

January 30, 2024

The 2024 Annual Regulatory Oversight Report provides insight into findings from FINRA's Member Supervision, Market Regulation, and Enforcement programs.

January 24, 2024

This case demonstrates the value of outsourcing investment performance management to a reputable third-party service provider.

January 22, 2024

The consolidation of information technology and information security providers has unintended consequences including an increased risk of cybersecurity incidents and operational disruption.

January 18, 2024

The Restricted Activities Rule focuses on transparency, disclosures, and consent while the Preferential Treatment Rule bans private fund advisers from providing preferential information to investors.

January 17, 2024

ACA has partnered with NSCP to gather data on cybersecurity trends, policies, and challenges across the financial services industry.

January 12, 2024

A blend of technology for automation and managed services for outsourcing can reduce the manual workload and guesswork for you and your team.

January 05, 2024

The Private Fund Quarterly Statement Rule requires a quarterly statement that includes information regarding fees, expenses, and performance to the private fund’s investors.

January 04, 2024

Prepare for the year ahead with our FINRA regulatory filings calendar. Our at-a-glance calendar provides key reporting deadlines and on-going and annual regulatory obligations in an easy to understand format.

January 04, 2024

Our calendar provides key reporting deadlines and regulatory obligations for investment advisers registered with the SEC, CFTC, NFA, UK FCA, and ESMA.

January 03, 2024

The SEC recently approved a rule requiring securities lending transactions to be reported to FINRA within 15 minutes of completion.