Our U.S. Financial Regulation Group have published their latest update covering the most critical regulatory developments in the U.S. impacting global financial institutions, private equity, hedge and real estate fund managers, broker-dealers, banks, and more.
The update covers the following topics:
- Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews final rules;
- Recent ESG-related developments in the U.S.;
- Preparing to comply with the Corporate Transparency Act;
- Marketing rule update: Recent risk alert and SEC orders;
- Preparing for the Amended Form PF;
- Divergent approaches to service provider oversight highlight regulatory focus;
- What investment advisers need to know about AI;
- SEC underscores key risks in broker-dealer AML compliance; and
- No ‘endgame’ in sight - U.S. bank regulators propose overhaul of capital standards.
Explore the October update here.