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SEC Operations Paused Amid Government Shutdown: A Strategic Moment for Compliance Readiness
As the federal government shutdown continues, the US Securities and Exchange Commission (SEC) has suspended most of its routine operations.
October 8, 2025
Strengthening Your Compliance Program Through Effective Annual Compliance Reviews Under Rule 206(4)-7
The Investment Advisers Act of 1940 was created to put investors first, ensuring that Registered Investment Advisers (RIAs) act with…
October 2, 2025
Regulatory Update August 2025 – US Region
This US regulatory updates includes SEC launches artificial intelligence task force, executive order expands retirement access to alternative assets, updated…
September 22, 2025
Regulatory Update July 2025 – US Region
July 2025 saw significant regulatory activity across multiple agencies, with a common theme of reducing unnecessary burdens while balancing investor…
August 20, 2025
Regulatory Update June 2025 – US Region
This US regulatory updates includes SEC resumes registrations of Swiss-based investment advisers, SEC and CFTC extend Form PF compliance deadline,…
July 29, 2025
Regulatory Update May 2025 – US Region
Stay informed with our Regulatory Update Navigate the ever-evolving regulatory landscape with our Regulatory Update. Our team of compliance experts…
June 24, 2025
BE-180 Benchmark Survey – Deadline Fast Approaching
Every five years, the Bureau of Economic Analysis (BEA) conducts the BE-180 Benchmark Survey, the most comprehensive survey of US…
June 17, 2025
Regulation S-P Amendments are Here
The US Securities and Exchange Commission (SEC) has finalized significant amendments to Regulation S-P (Reg S-P), which governs how financial…
June 9, 2025
Regulatory Update April 2025 – US Region
This US Regulatory Update includes Amendments to Form PF, Extension to Form N-PORT, New Co-Investment Relief for BDCs and CEFs.
May 27, 2025
Important Update on Form N-PORT Compliance Deadlines
On April 16, 2025, the US Securities and Exchange Commission (SEC) announced a two-year extension of the compliance dates for…
May 15, 2025
Prepare Now for the 2025 BE-10 Benchmark Survey (US Direct Investment Abroad)
Every five years, the Bureau of Economic Analysis (BEA) conducts the BE-10 Benchmark Survey, the most comprehensive survey of US…
May 13, 2025
Preparing for FinCEN’s New AML Rule: Why Investment Advisers Should Start Planning Now
Update (July 2025): The AML rule compliance deadline has been extended to January 1, 2028. While this gives firms additional…
May 12, 2025
Regulatory Update March 2025 – US Region
This US Regulatory Update includes – SEC No-Action Relief on Rule 506(c) Verification, Extension of Compliance Deadlines for the Names…
April 30, 2025
Corporate Transparency Act – Important Revisions
The Corporate Transparency Act (CTA) requires certain entities (known as "Reporting Companies") to report Beneficial Ownership Information (BOI) to the…
April 15, 2025
Key Takeaways from the SEC Roundtable on Artificial Intelligence in the Financial Industry
On March 27, 2025, the Securities and Exchange Commission (SEC) convened a roundtable at its Washington, D.C. headquarters to address…
April 7, 2025
Cloud Migration Security: Best Practices and Pitfalls
As businesses increasingly shift their operations to the cloud, the promise of scalability, flexibility, and cost efficiency is hard to…
April 2, 2025
Marketing Compliance: SEC Updates to FAQs
On March 19, 2025, the SEC’s Division of Investment Management released new FAQs addressing the Marketing Rule, specifically clarifying how…
March 20, 2025
SEC 2025 Exam Priorities for Investment Advisers
The US Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) published its annual examination priorities (“Priorities”) for the…
March 14, 2025