Cyber risk for financial firms is about to get a lot more regulated. Announcing its most recent Regulatory Flex Agenda......
ESG investing is at the forefront of the industry and with ESG-related regulations coming soon, having a streamlined ESG strategy in place is key for ...
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......
Navigating the Minefield of Regulatory Filings & Forms Current snapshot of required filings Identifying difficult aspects Methods for managing Current…
The SEC has expanded its cybersecurity examinations to include testing of firms’ implementation of procedures and controls
The GIPS Compliance Form deadline is rapidly approaching…
Ascendant’s ongoing education series ComplianceCast returns on Thursday, June 16 at 2 pm ET with an episode focused on regulatory…
A password manager is a much better way to keep track of your passwords and ensure they are all secure and up to industry standard. Browser-saved password don’t offer a lot and can sometimes lead people into the pitfalls of poor password management.
The SEC plans to propose the rules establishing a program of third-party compliance assessment in April 2017
A 2013 speech by Stephen L. Cohen, Associate Director of Enforcement of the SEC, highlighted the importance of corporate compliance…
Guidance, doing the right thing, understanding the regulations and building solid compliance programs are triumphs not just for the regulated firms, but also for the industry and investors alike.
With investment advisers encouraged to begin filing suspicious activity reports (SARs) as soon as possible upon the issuance of the final anti-money…
CCOs are worried about CCO liability due to various concerns and confusions.
CCO Liability: Truth, Misunderstandings and How to Protect Yourself (Everything You Always Wanted To Know About CCO Liability But Were…
In a first for the country’s growing body of state breach notification laws, Tennessee has recently amended its law to…