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Insights and alerts related to the SEC's new Marketing Rule

Guidance and insights on regulatory proposals, enforcements, and risk alerts

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SEC Unauthorized Electronic Communications Sweep Key Takeaways

The SEC has become increasingly concerned with the risks arising from employees’ increasingly wide-spread use of mobile electronic communications apps to conduct business. Learn about the risks and how private fund managers can more effectively track, archive, and surveil their employees’ business-related communications across all communication channels being utilized.

Article
  • Compliance
  • SEC
  • RegTech
  • ComplianceAlpha
ACA

The SEC’s New Marketing Rule: All Change Please

Coming into force on 4 November 2022, the SEC's new marketing rules introduce ssubstantial changes for all registered firms, wherever they are in the world. We outline why its key that firms familiarise themselves with the requirements now and take steps today to begin to implement these new compliance obligations, as several pieces of the work will take time and require resources

Article
  • SEC Marketing Rule
  • Compliance
  • SEC
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Microsoft Releases Information on 100+ Vulnerabilities

Learn about Microsoft's latest vulnerabilities, as well as recommendations for protecting your firm against them.

Cyber Alert
  • Cybersecurity
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Emerging Threats in the Cyber Landscape

Financial firms have good reason to be worried about cyber risk. Attacks are on the rise, average costs of a breach are increasing, and regulators are responding by launching new measures for greater oversight. What are the emerging threats, and how should firms respond to this ever evolving landscape.

Article
  • Cybersecurity
  • Cybersecurity Resources
  • Compliance
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Common Deficiencies in Private Fund Manager Exams: What you need to know

The observations the SEC shared earlier this year about common deficiencies uncovered during exams hold important lessons not only for registered private funds, but for other types of funds subject to SEC oversight as well. We outline the key takeaways.

Article
  • SEC
  • Compliance
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Budget Benchmarking Survey Series: Compare Your Cyber and Compliance Program Resources to Your Peers

Participate in our budget and staffing surveys to learn how your peers are allocating their program’s resources and prepare for the 2023 budgeting season.

Survey
  • Compliance
  • Cybersecurity
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Transaction Reporting: Man vs. Machine

With 97% of firms getting their transaction reporting wrong, it's clear they cannot rely solely on technology to create and submit complete and accurate reports under MiFIR, EMIR or SFTR. Can firms simply leave it up to the machines to detect errors? Or is human intervention key to ensuring the reporting is being done correctly?

Article
  • Trade & Transaction
  • Compliance
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New SEC Marketing Rule Master Class Podcast Released

We are pleased to announce the release of our new master class series on the SEC’s Marketing Rule! Sponsored by the NSCP and ACA Group and developed by Patrick Hayes, host of the Compliance In Context Podcast, and Carlo di Florio, ACA Group’s Global Advisory Leader.

News
  • Compliance
  • Performance
  • SEC Marketing Rule
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The Benefits of an Integrated Surveillance Solution

Regulatory expectations around firms’ trade surveillance programmes is rising, thanks in large part to the advent of Supervisory Technology (SupTech). The US SEC and the UK FCA are now ingesting significant volumes of transaction data every day, and are monitoring that data for potential market abuse very effectively. Is it time for firms to put more focus on this area to avoid being caught short?

Article
  • Compliance
  • ComplianceAlpha
  • FCA
  • SEC
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Looking Ahead: A Review of FCA and SEC Priorities, and What to Focus on in 2022

What are the key developments across the FCA and SEC regulatory regimes, which items should feature as priorities on your “to-do” list for the next twelve months, and how should firms respond to increased surveillance by regulators around the world?

Article
  • Compliance
  • FCA
  • SEC
  • ESG
  • SEC Marketing Rule