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Compliance, ESG

Fossil Fuels Pose New Compliance Headaches for Hedge Funds
By Alex Viall on January 7, 2022

The divestment from fossil fuel assets has been an ongoing trend for nearly a decade. Today that push to divest has engulfed a myriad of public institutions, from universities to pension...

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Compliance, Records Retention, Technology

The Gartner® Top Strategic Technology Trends for 2022
By Global Relay on December 8, 2021

In its recently launched Top Strategic Technology Trends for 2022™ report, Gartner® reveals 12 key technology trends that organizations will need to explore over the next year and...

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Compliance, ESG

Fund Managers Should Pay Attention To Warning Signals From COP26
By Alex Viall on November 19, 2021

 

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Compliance, Policy Management

Regulators Are Honing Their Rules To Enable And Protect Whistleblowers
By Donald McElligott on June 23, 2021

Today marks World Whistleblowers Day. Now in its fifth year, its purpose is to raise public and organizational awareness about the important role whistleblowers have in combating...

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Compliance, Social media

How Financial Firms Can Maximize Social Media Use While Minimizing Risks
By Chip Jones on June 4, 2021

As more financial firms use social media to reach and engage with customers, regulators including the SEC and FINRA still require that they preserve social media posts and...

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Compliance

SEC 2021 Examination Priorities: Reg BI, Operational Resilience, and a Question of Resources
By Chip Jones on March 10, 2021

The U.S Securities and Exchange Commission released its Division of Exams 2021 Examination Priorities last week, outlining the key risks, trends and examination priorities for the year...

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