By Victoria Olson, CRCP, Senior Consultant Compliance Services Reading enforcement actions against investment advisers serves two purposes for me: (1)...
The EU’s comprehensive sustainable finance action plan aims to mandate that companies integrate sustainability risks into their investment managemen...
ESG investing is still evolving and will continue to do so for years to come. As part of that evolution, ESG frameworks are emerging to standardize th...
Time is running out to comply with the European Union’s (EU) new Packaged Retail and Insurance-based Investment Products (PRIIPs) reporting requirem...
Download our latest whitepaper to learn about key challenges of PRIIPs KID, best practices and end-to-end capabilities needed to meet the requirements...
With the ever-changing regulations and the strain they place on internal resources, it is increasingly important that firms have a......
The CFTC recently issued a Request for Information, asking the public how the CFTC should consider climate risk in its......
On May 25th the SEC proposed an ESG disclosure framework for investment advisers and funds, examined in detail below. With......
The Bitcoin 2022 Conference, held in South Beach April 6-9, was very well attended with upwards of 25,000 attendees, a......
The “Technoking and Chief Executive Officer of Tesla”, who on March 14th surpassed a 5% ownership threshold in the social media ...
Recent rulemaking developments at the SEC indicate that, if 2021 was a year in which it revealed its intentions about......
Large Corporates and Financial Firms Face a New Breed of ESG Regulation under the EU’s Corporate Sustainability Due Diligence Directive......
During its examinations of advisers and funds, the Securities and Exchange Commission has observed a lack of cyber preparedness, determining......
On January 26, 2022, the SEC proposed amendments to Form PF to enhance the ability of the Financial Stability Oversight......
To state the obvious, the EU’s Sustainable Finance Disclosure Regulation (SFDR) has received immense attention from the financial sector in......
The SEC is conducting “electronic messaging” examinations — mainly in the New York region — which include all forms of written communications related to an Adviser’s business.
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Overview of the proposed AML rule Current AML environment and best practices Practical rule considerations impacting your firm Takeaway “to-do”…
It’s only going to get harder to detect 21st century fraud with 20th century technologies. Embrace technology in your compliance program.
In addressing the SEC reporting modernizations of Form N-Port, those in the mutual fund industry would be wise to be planning for 2018 now.
Many private fund advisers are wondering: How does the DOL Rule apply to my business? Why does it apply to…
This ComplianceCast covers the following topics: Investment Adviser Advertising Rules and No-Action Guidance Performance Advertising – General Requirements, Model Performance…
Your firm can outsource an activity to third-party vendors, but it still retains oversight responsibility. This ComplianceCast is designed to…
Supreme Court ruled that the SEC is bound by a five-year limitation period when it seeks disgorgement from those who have violated federal securities laws.
Review industry practices pertaining to identifying and monitoring service providers, and developing and implementing a due diligence program.
After months of delays, the DOL’s Fiduciary Rule goes into effect on June 9, 2017. What does this mean?
According to a new alert from the U.S Department of Homeland Security, nine minutes is all it takes for your compromised personal information to be widely accessible and for sale