Insights

January 30, 2023

The updated framework aims to incorporate signatory feedback from the 2021 Pilot Program.

January 27, 2023

January 28th is Data Privacy Day, a reminder that organizations should review their privacy obligations.

January 27, 2023

Environmental, Social, and Governance (ESG) considerations are a growing priority for regulators. We review recent trends and areas of focus in SEC examinations.

January 26, 2023

We examine how 2022's economic downturn impacted compliance companies, and explore how changing market conditions can create opportunities for new efficiencies.

January 26, 2023

We discuss the latest Risk Alert from the SEC’s Division of Examinations, the DOL’s change of heart on ESG for plan investments, and the SEC’s rule proposals to change the equity markets.

January 25, 2023

Prepare for the year ahead with our calendar of key FINRA regulatory filing deadlines in addition to other responsibilities at a glance to help you track your firm’s regulatory obligations.

January 18, 2023

As fiduciaries become increasingly subject to SEC inspection, ERAs should consider adopting compliance policies and procedures relevant to their operations to mitigate regulatory risks.

January 17, 2023

The SEC’s rule will establish new requirements for firms’ cybersecurity programs while strengthening investors’ confidence in the security of their investments.

January 17, 2023

The SEC's Regulatory Flexibility Agenda outlines another ambitious year of ESG rulemaking, which will impact many aspects of the U.S.'s financial markets and its investors.

January 12, 2023

The SEC released an updated FAQ on January 11, 2023 clarifying requirements around gross and net performance obligations for one investment or a group of investments (i.e., extracted performance).