Insights
Lessons Learned From Recent AML Enforcement Actions
By analyzing recent cases, institutions can identify regulatory trends and enhance their compliance framework to mitigate potential risks.
- AML and Financial Crime
- ComplianceAlpha
- RegTech
Market Makers – What You Should Know
Market makers are broker-dealer firms that provide pricing for ETFs and liquidity in the secondary market.
- Distribution
SEC Private Fund Adviser Rules: What Made the Cut
The SEC recently voted to adopt new rules and amendments, known as the Private Fund Adviser Rule. Here's a summary of the new rules and how they changed from the original proposals.
- Compliance
- Performance
- Private Fund
White Paper: How to Effectively Utilize the Cyber Threat Landscape
This white paper takes a look at the current threat landscape to glean lessons from cyberattacks that can help firms secure their organizations.
- Cybersecurity
- Cybersecurity Resources
Case Study: Global Investment Performance Standards Compliance for a Large Investment Manager
Leveraging a GRC firm’s expertise and resources enabled the company to overcome its complex challenges and improve its investment performance program while maintaining a high level of compliance with the Global Investment Performance Standards.
- Performance
- Managed Services
The New TPF Regime: Treating Politicians Fairly?
The FCA has asked politically exposed persons to share their experiences with regulated firms as part of the regulator's review of firms’ treatment of PEPs.
- Compliance
- AML and Financial Crime
ESG Marketing in the SEC's Crosshairs
The SEC's specialized Climate and ESG Task Force recently issued subpoenas to several asset managers requesting marketing materials related to environmental, social, and governance.
- ESG
- Investment Adviser
Active Risk Alert: Traders Targeted via WinRAR Vulnerability
A zero-day vulnerability has been identified in versions of compression tool WinRAR predating August 2, 2023
- Cybersecurity
The SEC Adopts Private Fund Adviser Rules – What Firms Should Know
The SEC’s recent vote to adopt the Private Fund Adviser Rule (IA-5955) presents some of the most significant private funds regulatory reform since the Dodd Frank Act. Read our summary of the Final Rules and our guidance for firms.
- Compliance
- SEC
- Private Fund
Enhancing Valuations and Investor Trust with Cybersecurity Portfolio Oversight
Programmatic cybersecurity portfolio oversight will meet increased investor expectations and safeguard and grow the valuation of investments.
- Cybersecurity
- Cybersecurity Resources