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

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How ACA is Responding to the COVID-19 Pandemic

The rapid spread of coronavirus (COVID-19) has already had a broad range of impacts, and the situation appears likely to grow more challenging in the weeks ahead.

Article
  • Compliance
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Market Volatility - Important Regulatory Reminders

In light of the current COVID-19-induced market rollercoaster, firms are reminded of the MiFID II “10% rule”. This rule requires that firms providing portfolio management services to clients inform these clients if the overall value of their portfolio depreciates by 10% from the beginning of the last reporting period – and each 10% thereafter.

Compliance Alert
  • Compliance
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Pandemic Response and Business Continuity FAQs for Financial Services Firms

More restrictions are being put in place every day to contain coronavirus disease 2019 (COVID-19) that could affect your firm’s operations.

Article
  • Compliance
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UK Spring Budget

The UK’s Chancellor of the Exchequer, Rishi Sunak, delivered his first Budget, dominated by a series of measures to counter the Coronavirus outbreak. Find out the key points affecting fund managers.

News
  • Compliance
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Business Continuity Planning Activation Checklist

We've developed a checklist to help you activate your business continuity and disaster recovery plans in response to the coronavirus disease 2019 (COVID-19).

Article
  • Compliance
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The End of LIBOR: How Credit Managers and other Alternatives should Manage the Transition

On 27 February 2020, the FCA wrote a 'Dear CEO' letter to all asset management firms setting its expectations for firms to prepare for the termination of LIBOR at the end of 2021. This letter is the latest in a barrage of co-ordinated messages from the UK authorities to chivvy the industry into action. We examine what this means for the buy-side community.

Compliance Alert
  • Compliance

Events