Tag: compliance consulting

Selecting the right partner to help navigate the FCA authorisation process has become a strategic priority for firms aiming to enter or grow within...

High interest rates, market volatility, and broader macroeconomic factors are driving asset managers to adapt their investment strategies, seek liquidity for investors, and deploy capital into attractive assets.

Complyport, a leader in RegTech solutions, has introduced ViCA.Chat, a cutting-edge Virtual Compliance Assistant powered by AI.

The U.S. Securities and Exchange Commission (SEC) introduced a significant regulatory update on August 24, 2023, impacting private fund advisers through the adoption of the Private Fund Adviser Rules. This regulatory shift comprises several key components aimed at enhancing transparency and safeguarding investor interests. Among these, the Adviser-led Secondaries Rule and the Annual Fund Audits Rule stand out for their direct impact on fund management practices, accompanied by the amendment to the compliance review documentation requirements.