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......
Tone at the Top, Training and Tips How tone at the top can set a healthy compliance culture or render…
When investment advisers use the cloud, they are making a conscious, informed decision to outsource tasks to vendors who may…
Companies struggling with Word, Excel and other traditional applications to support compliance functions, often lack guidance when evaluating tailored software…
Investment advisory firms and related individuals provide “disciplinary disclosures” to the public and the regulators though registration and reporting filings,…
Worried About What You Don’t Know? A Curriculum for Becoming a Better CCO You’ve experienced Compliance 101: What’s next? Keeping…
Where The Issues Lie in Marketing Material Understand Advertising Rules Understand When it’s a Past Specific Recommendation Discuss Concerns with…
How to prepare employees for the unexpected. What behavioural ethics teaches us about how we act versus how we think…
Regulatory Concerns for Data Loss Prevention How confident are you in your firm’s information technology controls to prevent privacy breaches?…
50 Due Diligence Questions to Ask Your Cloud Services Provider You’ve made the decision to use cloud-based services. Selecting the…
It has been 40 years since the adoption of the Employee Retirement Income Security Act. Understand the basics of ERISA…
In the financial services world, we frequently hear the mantra that advisers, as fiduciaries, have an obligation to seek “best…
Leveraging your technology professionals to implement a solid security foundation BCP, Change Management & NIST framework considerations What are the…