PEI Private Fund Compliance Regulatory Forum
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!
As new rules and regulations are adopted and the regulatory landscape evolves your compliance programme must keep pace or risk leaving your firm exposed.
The FCA recently released a Dear CEO letter interim update to reinforce their continued focus on protecting investors and customers from poor outcomes and upholding market integrity.
The FCA unveiled its Business Plan for 2024/25 providing a roadmap for its actions in support of its strategic objectives for the upcoming fiscal year.
Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from April through June 2024.
The FCA recently warned Annex 1 firms about common failings in financial crime controls. We look at the wider implications and tone of this warning.
The SEC Adopted two new rules that may require some hedge funds and proprietary trading firms to register as broker-dealers and become FINRA members.
Advisers with a December 31 fiscal year end must file the annual amendment to Form ADV by March 30. Here are a few things to keep in mind when preparing the update.
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.
As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!