Compliance Insights and Alerts

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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

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MiFID II Hits Six-Month Milestone: Time to Prepare for Regulatory Scrutiny

MiFID II has reached its six-month milestone. After gruelling and expensive implementation projects, many firms may have hoped to draw a line under the regulation roll-out. But the effects of the European Union’s directive are still being felt by financial firms and recent statements from the regulator suggest that scrutiny levels are set to rise.

Article
  • Compliance
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New Patterns Appearing in SEC Exams

When sworn in as Chairman in May 2017, Jay Clayton was expected by many to usher in a period of significant adjustment at

Article
  • Compliance
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ACA Expands West Coast Private Equity Practice

ACA announced continued growth and expansion of West Coast private equity practice.

Press Release
  • Compliance
  • ACA News
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FCA to Carry Out Review on MiFID II Research Arrangements

The FCA revealed at its recent Asset Management Conference that it will be undertaking a ‘diagnostic’ review of research and inducements at a range of organisations. It is expected that the FCA will be pragmatic in their assessment, taking a risk-based approach to analysing measures adopted to date. However, firms should be prepared to justify their approach should they be in scope of any such reviews.

Compliance Alert
  • Compliance
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SM&CR Paves the Way for Increased Individual Responsibility

In its 2018-19 business plan, the FCA make it one of its cross-sector priorities to finalise the rules and extend the Senior Managers & Certification Regime to all FCA-authorised firms. This blog outlines the current regulatory thinking in this area and what firms should be doing to prepare themselves for the looming changes.

Article
  • Compliance
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Now Batting: The SEC's Form N-CEN with Two on Deck

As of June 1, 2018, registered investment companies are required to file Form N-CEN with the Securities and Exchange Commission (“SEC”) on an annual basis. This new form replaces the semi-annual census reporting on Form N-SAR and must be filed within 75 days of a fund’s fiscal year end (with an exception for unit investment trusts, which must file within 75 days of calendar year end).

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  • Compliance
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