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Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory compliance news and 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 regulatory compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
New Year, New Risks - Support Solutions for CCOs in 2019
As the government shutdown continues and uncertainty abounds,
Article
- Compliance
Potential Risks for Banks Using Third-Party Broker-Dealers
Third-party risk management is a key priority for banking regulators like the Office of the Comptroller of the Currency (“OCC”). Every one of the many thousands of service providers a bank may use exposes them to different levels of risk - some of which can be serious and costly. This is why banking regulators are requiring strong, risk-based due diligence and ongoing monitoring before and after a third party is hired. Roy Kim explains what you need to know.
Article
- Compliance
One Year On: MiFID II Continues to Challenge
As of today, 3 January, the EU’s Markets in Financial Instruments Directive II (MiFID II) has been live for a year.
Article
- Compliance
UK Buy Side Should Prepare for More FCA Market Abuse Scrutiny
The UK’s Financial Conduct Authority (FCA) is increasing its focus on market abuse at buy-side firms with new publications, activities and potential enforcement actions, according to panellists at a
Compliance Alert
- Compliance
Year-End Compliance Checklist for CCOs
With the holiday season here and year-end looming, the pressure is mounting to cross those final compliance to-do’s off the list and finish the year strong. We’ve developed the following checklist to help guide you through the key areas to consider as you head into 2019.
Article
- Compliance
Do You Have Sufficient Resources? Ensure Compliance Coverage for the Holiday Season and Beyond
The year-end brings with it regulation changes and increased demands that last throughout the first quarter of the year. It’s all too easy for many compliance tasks to take a back seat due to lack of staff and bandwidth. Compliance officers and managers need the assurance that they can start 2019 off on the right foot and still have the resources available to fulfill both their regulatory obligations and their fiduciary duty to clients on a daily basis.
Article
- Compliance