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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
UPDATE: FCA Announces Last-Minute Extension of MiFID 10% Depreciation Reporting in the UK
The FCA have issued a last-minute statement declaring a further six-month extension and subsequent amendments to the Covid-19 measure brought into effect in March 2020. As a result, the MiFID 10% Depreciation Regime has now been extended to 30 March 2021.
Compliance Alert
- Compliance
- FCA
MiFID 10% Depreciation Rule: The End of the FCA’s Flexible Approach is Nigh
The FCA has announced a last-minute extension of MiFID 10% Depreciation Reporting in the UK. The Covid-19 measure is now in force until 30 March 2020.
Compliance Alert
- Compliance
SEC Announces Settlement with Broker-Dealer for Failure to Retain Text Messages
The SEC found that the broker-dealer's failure to retain the text messages was in direct violation of Section 17(a) of the Securities Exchange Act of 1934 and Rule 17a-4(b)(4) thereunder, which requires firms to preserve original copies of certain business-related communications sent or received for three years.
Compliance Alert
- Compliance
The Future of Risk and Compliance in the Age of RiskMutation™
Find out what RiskMutation™ is and why it's accelerating the modernization of risk and compliance management.
Article
- Compliance
- RiskMutation
FCA confirms re-opening of the Temporary Permissions Regime – Brexit planning for European Asset Managers
The FCA recently confirmed the re-opening of the Temporary Permissions Regime (TPR). This provides a short-term Brexit opportunity for EEA based Asset Managers to operate within the UK post 31 December 2020. Our TPR Q&A examines what this means for firms.
Compliance Alert
- Compliance
New Guidance for Fitness and Propriety Assessments and Conduct Rules Training under the FCA’s SM&CR
The FCA recently provided new SM&CR guidance for solo-regulated firms on Fitness and Propriety (”F&P”) assessments and Conduct Rules training. Here we summarise these updates and provide guidance on how to meet the regulators expectations.
Compliance Alert
- Compliance