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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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
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European Compliance Officer's Checklist for 2020

Recent years have been demanding on financial services compliance departments and the impact of recent regulatory developments will be felt this year. Our European CCO Checklist for 2020 tracks key compliance obligations for the year ahead

Article
  • Compliance
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Guidance on Business Continuity and Disaster Recovery Planning for Coronavirus Disease 2019 (COVID-19)

With the threat of the coronavirus disease 2019 (COVID-19), firms should revisit their business continuity and disaster recovery planning in response to a pandemic.

Compliance Alert
  • Compliance
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Getting Brexit ready – About the Temporary Permissions Regime, and how to apply

Brexit is now a fact, meaning many European asset managers are considering how to ensure uninterrupted access to the UK market. Find out why the UK’s Temporary Permissions Regime (TPR) is an important part of firms’ strategic planning, post-Brexit.

Article
  • Compliance
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White Paper: Top 10 Risk and Compliance Challenges for 2020 and Beyond

ACA’s top 10 risk and compliance challenges for 2020 and beyond white paper underscore both the complexity of the challenges that risk and compliance teams are facing, as well as the need to evolve the compliance function to adopt a fresh approach.

Report
  • Compliance
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Managing Expanding Compliance Expectations With Limited Resources

While risks, regulatory expectations, and the volume of compliance team tasks are all increasing, the skilled resources CCOs need to keep up with this demand may be difficult to obtain. We have enhanced our support options to meet these growing and evolving needs.

Article
  • Compliance
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