SEC Bulletin Highlights Need for Effective Conflicts Management The U.S. Securities and Exchange Commission (SEC) recently released the staff bulletin Standards of... READ MORE
SEC Announces Spring 2022 Regulatory Agenda The SEC’s Office of Information and Regulatory Affairs recently released the Spring 2022 Unified... READ MORE
FCA's 2022-2025 Strategy Focuses on Data, Conduct Risk and Outcomes The U.K. Financial Conduct Authority (FCA) has released its three-year strategy for 2022-2025. The... READ MORE
Technology Gives Firms a Better Handle on Managing Digital Asset Risk Regulated digital assets might sound like an oxymoron given that cryptocurrency was developed as an... READ MORE
FCA Fines Asset Management Firm and Employee for Conflicts of Interest The UK Financial Conduct Authority (FCA) has clearly set expectations to ensure that asset managers... READ MORE
SEC Focuses on MNPI and Code of Ethics Issues The SEC issued the Risk Alert Investment Adviser MNPI Compliance Issues to provide investment... READ MORE
MCO Announces Close of Schwab Compliance Technologies Acquisition New York, May 2, 2022: MCO (MyComplianceOffice), a global provider of conduct risk and compliance... READ MORE
The Compliance Challenges Firms Need to Tackle Conduct risk issues including employee compliance, transaction surveillance and third party risk... READ MORE
The SEC and the “RIC-ification” of Private Funds Have recent proposals foreshadowed a fundamental change to the regulation of private funds in the... READ MORE
