Even though compliance dates for the Securities and Exchange Commission’s new private fund rules are a year to 18 months away, compliance teams should start analyzing the impact now, according to experts.
Surveys & Benchmarking
Posted inRisk Management
Preparing for SEC cybersecurity rules an opportunity for collaboration
Businesses can prepare for the Securities and Exchange Commission’s upcoming cybersecurity disclosure rule by going through it and identifying key gaps in compliance.
Posted inData Privacy
Cyber expert: Reach for data security to achieve compliance
Data security and compliance are not one and the same but have enough overlap that organizations can take steps when building a data security program to move closer to achieving compliance.
Posted inRisk Management
Why MobilityWorks shifted from manual to automatic for dealer compliance
Erik Ingersoll, director of risk and compliance at MobilityWorks, shares the advantages the wheelchair accessibility vehicle provider has gained from switching to an automated compliance system to track its licenses.
Posted inEthics & Culture
Keep ‘your’ in mind while reading ‘Living Your Best Compliance Life’
Author Mary Shirley establishes her ethics and compliance advice book as relatable for all practitioners, junior or senior level. The result is an enjoyable read that offers something for everyone from any E&C background.
Posted inEurope
KPMG survey: ESG-related concerns in M&A derailing deals
Material findings related to environmental, social, and governance due diligence have disrupted mergers and acquisitions, forcing companies in the United States and abroad to back out of deals, according to a study from KPMG.
Posted inRegulatory Enforcement
SEC, CFTC call for self-reporting to reduce off-channel comms backlash
The Securities and Exchange Commission and Commodity Futures Trading Commission have indicated they will be more forgiving to financial services firms that voluntarily self-report recordkeeping violations and take remedial actions before being asked to do so.
Posted inEthics & Culture
Q&A: FlightHub compliance officer on shift to culture of compliance
Sona Bedrossian, FlightHub Group’s general counsel and compliance officer, explains to Compliance Week how the online travel agency embeds compliance into its technology.
Posted inAccounting & Auditing
AA report: Inflation helps drive audit fees to all-time high
Average audit fees paid to external auditors by Securities and Exchange Commission registrants reached record totals in fiscal year 2022, according to the latest annual study.
Posted inRisk Management
Risks, opportunities under SEC’s cyber incident disclosure rule
The clock is ticking for public companies to put in place policies and practices to meet the requirements of the Securities and Exchange Commission’s newly approved cybersecurity incident disclosure rule.