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......
The Inside Scoop on Insider Trading for Compliance Current SEC Focus: Priorities, Guidance, Investigations, and Enforcement Breaking Down the Elements…
The Route to European Investors: AIFMD and Article 42 What is Article 42? Is Article 42 Applicable to You? Formulating…
Practical Implications of FINRA’s New Supervisory Rules What’s the Important Take-Away? “Document, Document, Document” Important Details for Updating Your Written…
Risk Management: A New Regulatory Regime What Recent OCIE Initiatives Tell Us About the Way Regulators View Risk. Highlighting Risks…
Compliance and Cybersecurity What the Chief Compliance Officer Must Bring to the Table Satisfying Regulatory Expectations for Cybersecurity Basic Controls…
Since the Madoff Ponzi scheme unraveled, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has been under the microscope. Wide criticism has…
An investment adviser posts a seemingly innocuous comment to his firm’s social networking profile page, congratulating his colleagues on a successful year…
In the post-Dodd-Frank regulatory world, investment advisers seeking to meet the expectations of the Securities and Exchange Commission (“SEC”), or of other regulators,…
Whether technologically-savvy or not, investment advisers of all backgrounds appear keenly interested in latest industry trend – the migration to…
Technology has quickly infiltrated all aspects of our lives. Whether it’s built-in GPS technology in mobile devices or the proliferation of applications…
Compliance is a unique and somewhat paradoxical professional responsibility – one that must simultaneously co-exist in a silo of independence…
The anniversary filing of the revamped Form ADV Part 1A, which included material changes to the Part 2A brochure, is…