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Comms monitoring takes centre stage with global regulators
If your firm is subject to one or multiple regimes, you should ensure your controls and approach are aligned with the relevant regulators’ expectations.
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SEC announces 2024 exam priorities
Guidance on where to focus when preparing for the 2024 SEC exams.
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SEC Commissioner Mark Uyeda prepared and unscripted at NSCP conference
Commissioner tells annual gathering to prepare for additional workload caused by ‘overactive’ regulator.
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How US regulatory changes affect sovereign wealth funds investment
New rules are directly affecting how sovereign wealth funds are structuring their investments and reducing the compliance burden.
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Private equity fund adviser to pay $1.6m to settle charges for breaching its duties
California-based AIM transferred and loaned funds without the owners’ consent.
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SEC unveils new private fund reforms – scope and best compliance practice
Reforms bring several significant requirements applicable to private fund managers, including non-US based advisers and exempt reporting advisers.
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Building a long-lasting culture of compliance
Use your annual review to set the right tone to build a culture of compliance and reduce risk.
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The legal clash over ESG in retirement plans
Congressional Republicans continue legal challenges on 2022 ESG Rule.