Insights
FINRA 2020 Risk Monitoring and Examination Priorities
On January 8, 2020, FINRA released its Risk Monitoring and Examination Priorities Letter for 2020. While noting that the letter’s format had been changed to concentrate more on new risk areas, FINRA stated that it would continue to examine the areas of concern on which it repeatedly focused in previous years.
- Compliance
7 Tips to Avoid Identity Theft During the 2020 Tax Season
Tax filing may be delayed until July 15, but it's best to file as soon as possible and be extra vigilant about tax scams. Here are our tips for staying diligent and resources to share with your employees and friends.
- Cybersecurity
Regulatory Update for CPOs and CTAs
2019 brought significant regulatory developments for registered Commodity Pool Operators (“CPOs”) and Commodity Trading Advisors (“CTAs”). Review these notices from 2019 as you plan your 2020 compliance program.
- Compliance
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