Insights
Q2 2022 Regulatory Reporting Deadlines
SEC, FCA, ESMA, FINRA, and CFTC/NFA regulatory filing submission deadlines occurring from April through June 2022.
- Compliance
Microsoft Identifies Critical Remote Code Vulnerability
On April 12, 2022, Microsoft notified users of a remote code execution vulnerability (CVE-2022-26809). Immediate patching is needed.
- Cybersecurity
- Cybersecurity Resources
FINRA Reminder of Liability for Failing to Discharge Rule 3110
FINRA Regulatory Notice 22-10 reminds members of their liability if they fail to discharge Rule 3110 about designated supervisory responsibilities.
- Compliance
Family Offices: Both Fish and Fowl?
There is a nagging debate regarding the status of Family Offices that precedes the introduction of Regulation Best Interest.
- Compliance
Division of Examinations’ 2022 Exam Priorities: An Increased Focus on ESG
The Division’s focus on ESG is based on several issues that have emerged during the recent surge in investor interest in ESG related topics.
- ESG
- SEC
Checklist: How to Ensure Compliance with Financial Sanctions Obligations
Responding to the Russia-Ukraine conflict, the UK Government has imposed sanctions on Russia. FCA-regulated firms are obligated to implement systems and controls to prevent financial crime. With the authorities increasing their focus on financial sanctions, download our checklist to be sure you are considering key tasks.
- Compliance
- Cybersecurity
- Managed Services
- FCA
- ComplianceAlpha
SEC Division of Examinations 2022 Examination Priorities
On March 30, 2022, the U.S. Securities and Exchange Commission’s Division of Examinations released its FY2022 Examination Priorities. Read our insights.
- Compliance
SEC Maintains Information Security and Operational Resilience Focus in 2022
The SEC Division of Examinations released their annual Exam Priorities for the fiscal year (FY) 2022 and has highlighted information security and operational resiliency as significant focus areas for examinations.
- Cybersecurity
- Cybersecurity Resources
Potential Ramifications of the SEC’s Novel Shadow Trading Theory
This application of the “misappropriation theory” of insider trading is a reminder to assess whether MNPI is material to the value of shares of public companies.
- Compliance
Protecting Seniors and Vulnerable Adults Against Financial Exploitation
Elderly populations are vulnerable to scammers in various ways, and lawmakers are aggressively pursuing methods to protect senior investors from fraud.
- Compliance