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The SMCR regime aims to hold key individuals accountable for their business areas. It sets a higher standard of conduct across the industry, preventing senior managers from delegating responsibility when things go wrong. This regime comprises three key components: 1?? Senior Managers Regime? 2?? Certification Regime? 3?? Conduct Rules Understanding these elements is crucial for compliance in today's financial landscape.?Learn more in our on-demand webinar with Jessica Freckleton and Samantha Scrivin. ??Link in comments. How is your firm adapting to these accountability measures? #SMCR #FinancialCompliance?#COMPLYwithConfidence

?? What’s new, what’s next, and how can you maximize your compliance program in 2025? Join Chief Product Officer David Bliss and solution engineer Oron G. A. for our Innovation Showcase, where we will: ?? Recap COMPLY’s biggest compliance innovations in 2024? ??Preview COMPLY’s 2025 roadmap, including AI-driven compliance insights? ??Share real-world compliance success stories ?? March 26 | ? 10:00 AM EDT / 2:00 PM GMT ?? Register now: https://bit.ly/41QetEN?

The SEC’s new Crypto Task Force is taking steps to shift from enforcement-only actions to a clearer regulatory framework. But while regulation catches up, bad actors continue to exploit cryptocurrency hype. If a "too good to be true" crypto deal comes your way, be skeptical. Scammers thrive on uncertainty, and crypto remains a prime target. What’s your take? Will the task force bring the clarity the industry needs? #RegulatoryRockstars #COMPLYwithConfidence #CryptoTaskForce #Crypto

Your client communications, including emails, social media messages, and texts, may not be as compliant as you think. Why?? Short answer: Traditional email backups are not enough. In this on-demand event, COMPLY's Robert Madi and Robert Bertagna break down: ? The biggest archiving mistakes firms make? ? How to create a tamper-proof, regulatory-approved archive? ? Why small compliance teams are turning to COMPLY for support ?? Watch on demand at: https://bit.ly/3XBTp2k?

?? The leading regulatory compliance conference is back! COMPLYConnect 2025 will bring together top experts, regulators, and compliance leaders to discuss the future of risk and compliance. ?? Eden Roc Miami Beach Resort? ?? October 14 – 16, 2025? ?? Early bird pricing available until June 30. Reserve your spot today: https://lnkd.in/gfw8rveQ?

?????? ??????’?? ???????????? ?????????????????? ???????????? ???????????????????? ?????????????? ?????? ?????????? ?????????? ?????????? ???????? ???????? ????????????. ?? Market Integrity & Disruption: Disruptive market events are putting pressure on firms to strengthen risk management practices. The FCA has signaled that resilience planning must be a priority. ?? Financial Crime & AML Controls: Weak controls in private markets can increase exposure to money laundering and market abuse risks. The FCA has committed to reviewing firms' AML controls. ?? Conflicts of Interest: Poorly managed conflicts can lead to investor harm. The FCA will launch a targeted review of how firms are addressing conflicts, particularly in private markets. ??Sustainability Compliance:? The FCA will engage with firms to understand how they are implementing the labelling, naming, and marketing rules.?? The FCA is providing clear directives and firms need to respond accordingly. This isn’t just about avoiding enforcement actions. It’s about building a compliance culture that fosters investor trust and business resilience. For asset managers looking to strengthen their compliance posture, expert guidance can make all the difference. COMPLY’s tailored services help firms navigate evolving regulations with confidence. ??Get the full scoop in our latest blog: https://bit.ly/43vOmEm

Are your SMCR processes up to date, comprehensive, and compliant? ?? Don't let complacency creep in! Regular reviews of your SMCR framework are crucial. Jessica Freckleton, Director of Compliance Advisory at COMPLY, emphasizes the importance of: ?Background checks every 3 years? ? Prompt staff attestations ? ? Annual process evaluations Stay ahead of regulatory requirements and ensure your framework remains robust. Learn more in our our deep dive into SMCR compliance. ??Link in comments.

?? Regulatory scrutiny is ramping up, and state-registered RIAs must ensure their client communications meet compliance standards. The challenge? Many firms unknowingly store client communications in ways that fail to meet regulatory standards – exposing themselves to risk, audits, and potential enforcement actions. Join Robert Madi and Robert Bertagna for a 30-minute webinar covering common pitfalls and solutions to safeguard your firm. ?? March 11 | ? 2:00 PM EDT Save your spot. Link below in comments??

What an incredible 2025 Investment Adviser Compliance Conference! ???? During this year’s event, our very own Nicole Del Rosario, IACCP?, CAMS, Senior Consultant at COMPLY, joined a powerhouse panel to discuss Ethics for Advisers: Compliance with Fiduciary Standards. ? Safeguarding against the misuse of MNPI & insider trading? ? Best practices for monitoring and enforcing compliance policies? ? Whistleblower rule compliance and real-world scenarios Regulatory expectations and priorities continue to evolve, and staying ahead requires proactive compliance strategies. Huge thanks to our fellow panelists and attendees for the engaging conversation and valuable insights. If you missed the session or want to continue the conversation, let’s connect.

When it comes to AI, regulators?aren’t just watching, they’re taking action.?From enforcement to exam priorities, the industry is on notice. How can firms innovate responsibly while avoiding compliance pitfalls? This AI Compliance FAQ Sheet breaks it all down. Get insights on AI’s role in financial services, key regulatory risks, and answers to the most pressing compliance questions. Stay compliant. Stay ahead. Download your copy now.? ?? Link in comments.