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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MAR Review: ESMA Publishes Report on Reforms to Market Abuse Regime

The European Securities and Markets Authority (“ESMA”) recently published its Review Report on reforms to the Market Abuse Regulation (“MAR”). We outline the focus points and key amendments, what this means for firms and the post-Brexit impact.

Compliance Alert
  • Compliance
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CFTC Approves Final Rule Amending Form CPO-PQR

On October 6, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved a final rule (the Fi

Compliance Alert
  • Compliance
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RiskMutation™ Drives Firms to Seek Enhanced Solutions for Managing Rapidly Evolving Risk and Compliance Challenges

RiskMutation is accelerating the need for financial services firms to modernize and rethink their risk and compliance operating models through the adoption of enhanced solutions and trusted third parties.

Article
  • Compliance
  • RiskMutation
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SEC Registration Freeze Has Been Lifted For UK-Based Firms

Indications are that the SEC has begun to approve pending registrations of UK-based advisers wishing to do business in the U.S or to attract U.S. investors. We outline what this means for firms.

Compliance Alert
  • Compliance
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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
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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
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Events

Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night

Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.

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