Financial Reporting Insights
Regulatory update for broker-dealers
Our summary highlights several regulations affecting broker-dealers that recently have been issued or updated.
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Ideas & Insights
Tax Alert
DOL issues registration regulations for Pooled Employer Plans (PEPs)
The U.S. Department of Labor has issued necessary regulations for service providers that want to offer PEP arrangements to their clients.
Insight Article
The clock is ticking on the end of Libor: Does your firm have a plan?
What makes the shift from Libor challenging is how deep and interwoven it is in every corner of the financial services industry.
Tax Alert
DOL issues Fiduciary Rules on Plan Investments
DOL proposes prohibited transaction exemption for Financial Institutions and Investment Professionals providing advice to participants.
Tax Alert
COVID-19 delays FATCA and CRS reporting deadlines in key jurisdictions
The U.S., Cayman, and other jurisdictions extend deadlines for filing FATCA and CRS reports, but exams and compliance programs continue.
Insight Article
New York denies broker-dealer sourcing from a related disregarded LLC
The decision may impact sourcing positions taken by the financial service industry for New York State and New York City tax purposes.
Insight Article
Is your internal audit of BSA/AML doing all it should?
How financial institutions can gain comfort that the internal audit provides appropriate testing of their BSA/AML function and activities.
White Paper
SEC auditor independence considerations for private equity funds
SEC auditor independence considerations for private equity funds with a registered investment adviser or an initial public offering.