PEI Private Fund Compliance Regulatory Forum
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Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
The Corporate Transparency Act: The Latest Iteration of Customer Due Diligence in the Financial Crime Toolkit
FinCEN issued the Corporate Transparency Act to create greater transparency into the beneficial owners of small companies.
Compliance Alert
- AML and Financial Crime
- Compliance
Private Fund Adviser Rules Timeline
Download a timeline that maps out each critical phase of the SEC's Private Fund Adviser Rules and the timeframes required to meet the rule's deadlines.
Article
- Private Fund
- SEC
- Compliance
- Performance
The SEC Targets Use of Predictive Data Analytics
Predictive data analytics can have a number of great uses in the financial industry. However, the SEC recently proposed rules to ensure advisers are not using it to harm investors.
Compliance Alert
- Compliance
- SEC
- Artificial Intelligence (AI)
The CFTC Cracks Down on Recordkeeping Failures
The CFTC recently issued an order against an introducing broker and a futures commission merchant for violations of recordkeeping and supervision requirements. However, this is just one instance in the CFTC's crackdown.
Compliance Alert
- RegTech
- Compliance
U.S. Regulatory Update – October 2023
The SEC's rulemaking and enforcement activity continues unabated. This issue also covers FINRA's remote inspections request, and NASAA's Reg BI report.
Newsletter
- Compliance
- Private Fund
- SEC
- SEC Marketing Rule
- FINRA
- ComplianceAlpha
ACA Group Launches New Solutions to Meet Full Scope of SEC’s Private Fund Adviser Rules
ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.
Press Release
- ACA News
- Private Fund
- SEC
- Compliance