News, updates, and meaningful insights from the MBK Search team.

MBK Search's Michael Oliver sat down with Senior AML Product Expert at Nasdaq Verafin Corey Lynch to discuss the challenge. These are four key takeaways for firms:

The Commodity Futures Trading Commission (CFTC) finalized amendments to regulations regarding margin requirements for futures commission merchants (FCMs).

The SEC published a proposed rule that would increase the dollar threshold used to define a "qualifying venture capital fund" under the Investment Company Act. The change aims to account for inflation since the definition was first introduced in 2018. If adopted, more venture capital funds would qualify for reduced regulatory burdens going forward. Here are 3 things you need to know.

The Financial Crimes Enforcement Network (FinCEN) recently proposed a new rule to establish anti-money laundering and countering the financing of terrorism (AML/CFT) requirements for certain investment advisers.

The SEC recently adopted rules 3a5-4 and 3a44-2 that aim to capture proprietary trading firms, hedge funds, and potentially other entities that actively provide liquidity in securities markets but are not registered as broker-dealers. The rules could have significant implications for firms in these spaces. MBK Search has compiled this explainer on the changes and what firms demonstrate to be compliant.

In the rush to give NCAA athletes NIL rights, did universities leave themselves exposed? The lack of preparedness for issues taxes, vetting payments, and preventing financial crimes for overnight student millionaires could cause major compliance headaches. MBK Search looks at the lay of the NIL land.

In January, the SEC unveiled major rules to strengthen investor guardrails around SPAC transactions. The rules aim to enhance transparency, accountability, and disclosure standards. Governance and compliance teams must prepare firms for critical new compliance changes. The changes enable fairer, more trustworthy deals. They also maintain the speed advantages. These are the five biggest takeaways GRC professionals need to be aware of.

SEC Commissioner Mark Uyeda recently outlined his vision for rethinking private securities offerings to aid startups and retail investors. Governance, risk management, and compliance teams should note several dimensions covered that could reshape oversight duties.

The EU's Anti-Money Laundering Regulation (AMLR) will soon uniformize compliance across the bloc alongside its 6th Anti-Money Laundering Directive (AMLD6). The expansive rulebook will substantially impact governance, risk management, and compliance approaches. Here are 6 key points for GRC teams.

FINRA recently published its yearly review showing where stock trading firms slip up on protecting customers. The report is a deep dive into regulatory areas the agency will be scrutinizing in depth throughout the year, with several new areas brought into sharp relief. Here’s MBK Search's high-level summary for governance and compliance teams.