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Why should trade surveillance be a critical component of your compliance program? The short answer is that the devil is…

This year more than ever, it’s a time for renewal and optimism. As compliance professionals, we have completed our reviews…

When the SEC set out to require registered investment advisers to implement a compliance program and designate a chief compliance…

If there is one certainty about regulatory compliance, it is that nothing is static (isn’t that one of the things…

A large cyberattack on U.S. infrastructure – this time a ransomware attack that shut down the Colonial Pipeline – has…

The new Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940) is effective on May 4, 2021, starting…

ESMA has recently suggested to national regulators across the EU that they de-prioritize enforcement of MiFID II position limits on…

In recent years, investor awareness regarding environmental, social and governance issues (“ESG”) has grown and investors increasingly look for investments…

Jurisdictions are creating privacy laws with competing interests of protecting consumer data without unnecessarily impeding companies’ ability to do business…

On 30 March 2021, ESMA published the final report on the back of the consultation paper from 24 September regarding…

Many state and local government pension funds use third-party investment advisers to manage assets within their pension plans. Pension fund…

On March 3, 2021, the SEC’s Division of Examinations (“Division”) released their examination priorities (“Release”) for 2021. The Release represents…