Insights
Ten Advantages of Pursuing FCA Authorisation
We outline ten reasons why seeking FCA authorisation can bring benefits beyond compliance, including enhanced credibility, market access, investor confidence, and long-term sustainability.
- FCA
- Compliance
Ten Advantages of Turning to Regulatory Hosting in the UK and EU
If you're navigating this complex terrain and want to access the EU or UK markets, exploring the regulatory hosting route could offer significant commercial and operational advantages.
- Mirabella
Common AML Schemes: ESG
ESG criteria can prevent money laundering, as they generally have strong compliance systems and ethical practices. However, there are still some vulnerabilities that can be exploited.
- AML and Financial Crime
- ESG
SEC Examinations Division to Evaluate Firms’ Readiness for T+1
The SEC Examinations Division issued a risk alert reminding broker-dealers, clearing agencies, and investment advisers of their new obligations in connection with the transition to T+1 settlement of certain securities transactions.
- Compliance
- SEC
An Introduction to Interval and Tender Offer Funds
Non-traditional closed-end interval and tender offer funds constitute an important segment of the investment industry. Their unique structure allows asset managers to deliver alternative and illiquid investment strategies to a broad investor base.
- Distribution
Case Study: Establishing Cybersecurity Portfolio Oversight
This case study discusses how ACA Aponix helped identify areas for cybersecurity growth, visibility, and value enhancement across Gridiron Capital LLC’s portfolio.
- Cybersecurity
- Portfolio Company Risk Management
The FTC Safeguards Rule Amendments Becomes Effective May 13, 2024
Beginning May 13, 2024, amendments to the "Safeguards Rule” will require subject firms to report “notification events” to the FTC as soon as possible.
- Compliance
Communications Surveillance Program Best Practices
Surveillance requirements are as varied as the firms which deploy these tools. Our Surveillance Program Gap Analysis Checklist helps compliance officers to work through their requirements.
- RegTech
- ComplianceAlpha
- eComms Surveillance
Bundled Research Payments – Is It Really New, or Just Déjà Vu?
The FCA published Consultation Paper CP 24/7 introducing “payment optionality” for investment research.
- Compliance
- FCA
2024 Cybersecurity Benchmarking Survey Results
This year’s survey covered a wide range of topics and involved the participation of compliance professionals at 308 financial services firms of various sizes.
- Cybersecurity