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US Newsletter | November 2024

NEWSLETTER: With the U.S. heading into another Trump presidency, it’s safe to say that it will remain a key market for global businesses. Understanding the way these results will change…

| Americas

Using your annual review to build a long-lasting culture of compliance

One of the most important, albeit often overlooked, factors of success is building and maintaining a strong culture of compliance across the organization. The annual review is an important milestone…

| Americas

US Newsletter | October 2024

NEWSLETTER: We’re tantalisingly close to the election. Whatever the outcome, there’s plenty for firms to be grappling with to develop strong, robust compliance functions and cultures. Whistleblowing continues to be…

| Americas

Ocorian’s Bovill Newgate appoints US Practice Lead

NEWS RELEASE: Specialist financial services regulatory consultancy, Bovill Newgate, part of the Ocorian group, has recruited Portia Amato as US Practice Lead as it continues to expand its services for…

| Americas

Creating a culture of compliance through training

Compliance training could be the difference between a strong compliance program and one that would have regulators knocking at your door. The SEC first proposed changes for registered investments advisers…

| Americas

Taking the pain out of SEC examinations

With examinations becoming an increasingly common tool used by the SEC to uncover deficiencies, ensuring your entire operation is prepared for when the Commission comes calling is time well spent.…

| Americas

SEC rewards whistleblowers for assisting in enforcement investigations

Earlier this year, the SEC announced several awards totalling over $120 million to whistleblowers who provided information to the regulator which ultimately led to an enforcement action. With enforcement action…

| Americas

US Newsletter | September 2024

NEWSLETTER: It’s no surprise the upcoming election continues to dominate proceedings. Although the SEC has been relatively quiet on the regulatory update front, its attention to enforcement is as sharp…

| Americas

Investment advisers charged for whistleblower protection rule violations

In recent enforcement actions by the SEC, seven public companies were charged with violating whistleblower protection rule and were required to pay civil penalties as a result. The fines imposed…

| Americas

SEC focus remains on Marketing Rule

We are nearing two years since the adoption of the SEC’s long overdue update to rule 206(4)-1, or the Marketing Rule. And what has previously been referred to as the…

| Americas

US Newsletter | August 2024

NEWSLETTER: Being the subject of an SEC examination isn’t an experience many firms forget. We look at how mock examinations can prepare your people and uncover aspects of your compliance programme that…

| UK & Europe

Cross-border compliance: navigating UK and US compliance

For firms operating in the UK and US, or seeking to expand on the other side of the Atlantic, navigating the regulatory frameworks across jurisdictions can often be complex due…