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US Newsletter | December 2024

NEWSLETTER: We hope you had enjoyable Thanksgiving celebrations. We’re now entering the final stretch before switching off for a well-earned Christmas break. The new year also brings us a new…

| Americas

The RIA compliance checklist: Meeting your regulatory obligations

Becoming a newly registered investment adviser (RIA) is an exciting milestone, but it comes with significant compliance responsibilities. A well-structured RIA compliance checklist can help ensure you meet these obligations effectively and…

| Global

Evolution of female leadership in risk management and compliance

This article by Liz Berger was featured in the 2024 Risky Women Writing Competition, presented in partnership with Bovill Newgate. She examines the evolving role of women in Governance, Risk,…

| Global

Making a difference: How GRC enables meaningful work

This article by Tina Chugani was an honorable mention in the 2024 Risky Women Writing Competition, presented in partnership with Bovill Newgate. She explores the meaningful impact of GRC professionals, highlighting their…

| Americas

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…
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