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Compliance Alert

SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting

On February 10, 2022, the SEC voted to propose amendments regarding beneficial ownership reporting under Exchange Act Sections 13(d) and 13(g). The proposed rules would accelerate the filings deadline of Schedule 13D and 13G filings.

Compliance Alert
  • Compliance
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FCA Reminds Firms of their Financial Sanctions Obligations in the Light of New UK Measures Against Russia

The FCA has reminded firms of their financial sanctions obligations in the light of new UK measures against Russia. We outline key reminders and requirements for regulated firms to observe.

Compliance Alert
  • Compliance
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Ukrainian-Russian Conflict Escalates: How Developing Sanctions Affect U.S. Asset Managers

All U.S. persons and entities, including financial firms, are required to abide by the current OFAC sanctions against Russia. Firms should review their KYC, sanctions, and due diligence efforts in light of the changing OFAC mandates.

Compliance Alert
  • AML and Financial Crime
  • Compliance
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Updated: Firms Encouraged to Remain Vigilant Due to Heightened Cybersecurity Concerns Over the Current Situation in Ukraine

In light of recent geopolitical issues with Russia and Ukraine, both the UK’s National Cyber Security Centre and the U.S. Cybersecurity & Infrastructure Security Agency (CISA) have released guidance on action steps firms can take to bolster and protect their cyber programs.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
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2022 Regulatory Headwinds: Potential Changes to Securities Laws and Regulations and the Impact on Private Fund Managers

We partnered with Willkie Farr & Gallagher LLP to explore several of the proposed SEC rulemakings that merit special attention for private funds.

Article
  • RegTech
  • Compliance
Regulatory Horizon 2022

Four Reasons to Attend Regulatory Horizon 2022 | Prepare for the Challenges of Tomorrow

On 8-10 March, we bring together a wealth of financial services industry experts at our virtual conference. Over 3 days and 10 sessions, they’ll examine a wide variety of governance risk and compliance hot topics and challenges. Learn more about why you should add this event to your calendar.

Article
  • Compliance
  • ComplianceAlpha
  • ESG
  • Cybersecurity
  • Cybersecurity Resources
  • Managed Services
  • FCA
  • SEC
  • SEC Marketing Rule
  • Regulatory Deadlines
Compliance Alert

SEC Proposes Sweeping Changes Affecting Private Fund Managers

On February 9, 2022, the SEC proposed five new rules as well as amendments to Rules 204-2 and 206(4)-7 under the Investment Advisers Act of 1940, as amended. According to the SEC, these proposals are designed to address "concerns that arise out of the opacity that is prevalent in the private fund structure."

Compliance Alert
  • Compliance
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Whaling Attacks: How to Respond When a C-Suite Executive is a Victim

Whaling will soon become one of the most prominent forms of cyberattacks, especially with firms that operate in remote and hybrid work environments. In this article, we describe: whaling attacks, their impact, how to prepare C-Suite executives to not fall victim to whaling attacks, and what to do if an executive is a victim.

Article
  • Cybersecurity
  • Cybersecurity Resources
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Significant Proposals for Cybersecurity Risk Rules in the Financial Industry

The SEC recently voted to propose new rules to address cybersecurity risk management for registered investment advisers and investment companies. These proposed rules address multiple concerns related to cybersecurity risks to investment advisors, clients of investment advisors, private funds, and investors of private funds.

Cyber Alert
  • Cybersecurity
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Lifting the Lid on the Systematic Trading: The Most Common Compliance Pitfalls

Navigating the matrix-like world of algorithmic trading is a complex task for compliance officers at SEC and FCA registered firms. Poor management results in adverse impacts for investors, losses or reputational damage. We reveal common compliance errors and provide guidance on how to rectify them.

Article
  • Compliance