Insights
Data Privacy Day 2020
Data Privacy Day is a great opportunity to evaluate your level of data privacy compliance for your firm, especially for CCPA. Join our webcast with Compliance Week to learn what you need to know about this new privacy regulation.
- Cybersecurity
FCA Announces New Supervision Strategy for Investment Managers
Last week, the FCA sent a Dear CEO letter outlining its refocused supervisory strategy for their firms. Find out what this means for asset management and alternative fund firms.
- Compliance
SEC’s OCIE Releases Cybersecurity and Resiliency Observations from Examinations
SEC's OCIE released Cybersecurity and Resiliency Observations from its examinations of SEC-registered firms. Here's what you need to know.
- Cybersecurity
10 Cybersecurity Trends for 2020
As we begin 2020, here’s a list of 20 cybersecurity trends and predictions to prepare for in the coming year.
- Cybersecurity
SEC publishes FAQs for Regulation Best Interest
On January 10, 2020, the U.S. Securities and Exchange Commission (“SEC”) published Frequently Asked Questions on Regulation Best Interest. Regulation Best Interest (“Reg BI”) establishes a standard of conduct for broker-dealers and investment advisers and their associated persons. Its compliance date is June 30, 2020.
- Compliance
SFTR Reporting – EMIR’s New Sidekick
Changes to the Securities Financing Transaction Regulation (SFTR) come into force for many financial services firms from 11 April. We examine what firms need to do to determine their reporting requirements and why they should do this now
- Compliance
The Impact of OCIE’s 2020 Examination Priorities on Registered Investment Companies
On January 7, 2020, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released its 2020 examination priorities. In this alert, we focus on on the impact of the priorities on registered investment companies.
- Compliance
Microsoft Issues Patch for Critical CryptoAPI Security Vulnerability
Learn what actions to take regarding the recent Microsoft® security update to the CryptoAPI component (Crypt32.dll).
- Cybersecurity
Global Regulators Renew Commitment to Data and Analytics Innovation in 2020
With the New Year comes the global regulators’ announcements of their supervisory priorities and focus areas for the year ahead. Both the SEC and FCA have issued press releases regarding their views on technology and the role it plays in regulatory oversight.
- RegTech
SEC Announces 2020 Examination Priorities
On January 7, 2020, the U.S. SEC's Office of Compliance Inspections and Examinations announced its examination priorities for 2020. The priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. Learn more about what the priorities mean for you.
- Compliance