PEI Private Fund Compliance Regulatory Forum
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Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
EU Cross Border Fund Distribution Directive and Regulation - Raises More Questions than it Answers?
Marketing rules have traditionally taken a jurisdictional rather than EU wide harmonious approach. With new cross border distribution rules coming into play on 2 August 2021, we examine the impact on AIFs and UCITS funds.
Compliance Alert
- Compliance
- ComplianceAlpha
- Brexit
Majority of Firms in Breach of Transaction Reporting Requirements
Data from a Freedom of Information Request to the FCA has revealed that firms are either transaction reporting incorrectly or not adhering to the MiFIR requirement to monitor their reporting using submission data made available to them by the FCA.
Press Release
- Compliance
- Trade & Transaction
- ACA News
- FCA
CFA Institute Releases ESG Disclosure Standards for Investment Products
Following the release of the CFA Institute's Exposure Draft of ESG Disclosure Standards for Investment Products, we outline what the standards include, the related timelines, and what these changes mean for firms.
Compliance Alert
- ESG
- Performance
- Compliance
- GIPS Standards
Brexit: EMIR Reporting - Getting the Right Repository
Brexit is another in a long line of moving goalposts that requires firms to revisit their EMIR reporting arrangements. Are you confident your reports are being submitted correctly? Download our guidance to learn more.
Compliance Alert
- Compliance
- Brexit
- Trade & Transaction
- FCA
EEA Firms in the TPR: Have you Received your Landing Slot to Apply for Full Authorisation in the UK?
Firms that signed up to the Brexit Temporary Permissions Regime (TPR) will shortly be sent a ‘landing slot' from the FCA to apply for full authorisation in the UK. Learn more about the process, and why this is not as straightforward as it seems.
Compliance Alert
- Brexit
- FCA
- Compliance
Fill the Gaps this Summer with Additional Compliance Support
After the challenges of the past year, many people are looking forward to a return to normalcy and preparing to return to the office. Across the industry, many firms are dealing with an increase in staff turnover as we turn the corner post-pandemic. Other firms, including ACA, are gearing up for summer breaks to recharge. But in the compliance industry, taking a break from work isn’t as simple as turning on your “out of office” message and walking out the door.
Article
- Compliance
- Managed Services