Insights
Compliance Deadline Approaching for Regulation Best Interest and Form CRS
The June 30th deadline to comply with Regulation Best Interest (Reg BI) and Form CRS is almost here. We’ve summarized the requirements of both to help broker-dealers and investment advisers confirm they are ready to comply.
- Compliance
Abide Closure – What Happens Next?
With CME winding down Abide, its European regulatory reporting platform, many firms now face a complex, time-critical move to an alternative transaction reporting provider. We explore what this means for affected firms and what's needed to ensure ongoing compliance.
- Trade & Transaction
OCIE Risk Alert Highlights Private Fund Adviser Deficiencies Related to Conflicts of Interest, Fees and Expenses, and MNPI / Code of Ethics
OCIE’s latest Risk Alert details observations from examinations of private equity funds and hedge funds.
- Compliance
COVID-19 and Working Remotely: Reminding Staff of Their Compliance Obligations
To help mitigate the risk of ‘compliance distancing’, it's key that Compliance Officers make staff aware of their role in protecting the business. We outline regulatory requirements that help bolster a firm’s safeguards relating to investor protection, market conduct and in meeting its legal and regulatory obligations.
- Compliance
- COVID-19
LIBOR No More: How Alternatives Managers Should Implement the Transition
The transition from the London Interbank Offered Rate (LIBOR) is due to be complete by the end of 2021. With 2020 considered a critical year for the global industry to make that transition, we examine what firms should do now to prepare for the termination of LIBOR.
- Compliance
Widespread Telecom Outages Reported: Contingency Preparedness Recommended
On June 15, 2020 widespread voice and data outages were reported across the U.S with disruptions in service among major cell service carriers, internet service providers, social media platforms, gaming sites, streaming services, banking services, delivery services, and teleconferencing platforms.
- Cybersecurity
EMIR REFIT: 18 June 2020 Deadline Checklist
18 June 2020 marks the deadline for counterparties to complete a range of requirements aligned to the amended European Market Infrastructure Regulation (EMIR REFIT). We've created a checklist for firms to check they are ready. Read more.
- Compliance
The Compliance Officer’s Plan for Recovery in the Next Phase of COVID-19
With the reopening phase of the COVID-19 pandemic underway, compliance officers will need to be strategic and agile in their approach to compliance management. Here are some key considerations to keep in mind.
- Compliance
- BCP
- COVID-19
SEC Guidance for Paycheck Protection Program Related Considerations
The U.S. Securities and Exchange Commission recently issued guidance to financial institutions regarding some of the disclosure requirements and other obligations related to the Paycheck Protection Program and the impact of COVID-19.
- Compliance
Countering COVID-19-related Fraud and Scams
Fraudsters are quick to exploit an opportunity and the coronavirus pandemic has led to attempts to take advantage of new working behaviors and hastily implemented government schemes. Learn about the heightened risk, as well as measures businesses can take to protect themselves and their employees.
- Cybersecurity
- COVID-19