Insights
The Year in Regulatory Technology for Financial Services Firms
Recap of our 2019 product updates, insights, alerts, webcasts, and other resources for CCOs, COOs, legal personnel, and compliance and risk teams to review and utilize to close 2019 strong and lay the foundation for a successful 2020.
- RegTech
2020 Regulatory Reporting Deadlines Calendar
Download our printable calendar of key regulatory reporting deadlines for the SEC, CFTC, NFA, and ESMA regulatory filings in addition to national holidays at a glance.
- Compliance
California Attorney General Signals Approach to Upcoming CCPA Enforcement
In a December 10 interview, California Attorney General (AG) Xavier Becerra provided insight into planned enforcement for the upcoming implementation of the California Consumer Privacy Act (CCPA). Per the interview, the effort firms take to comply will affect the severity the AG takes in enforcement.
- Cybersecurity
- Privacy
Year-End Recap and CCO Compliance Checklist
A number of regulatory updates and industry developments happened in 2019 that may impact how year-end compliance tasks are prioritized and 2020 initiatives are set. We’ve compiled a checklist to help guide you through key areas as you work to meet your 2019 obligations and head into 2020.
- Compliance
CIMA’s Continued Focus on AML
The Cayman Islands Monetary Authority (“CIMA”) has made significant changes to its Anti-Money Laundering (“AML”) regulations in recent years, including updating the definition of Financial Service Provider (“FSP”) making private investment vehicles, such as hedge funds, private equity funds, and real estate funds domiciled in Cayman Islands, subject to Cayman Island’s AML regime.
- AML and Financial Crime
ACA Aponix Named Due Diligence Firm of the Year by M&A Advisor’s 14th Annual Turnaround Awards
ACA Aponix has been named Due Diligence Firm of the Year for the third year running in the M&A Advisor’s 14th Annual Turnaround Awards. The awards recognize the leading transactions, firms, and individuals in the distressed investing and reorganization industry.
- Cybersecurity
The UK Stewardship Code 2020: What’s changing and why it matters
From 1 January 2020, many UK fund managers and providers will be more responsible and accountable for financial management as well as environmental, social and governance ESG. We examine what these changes mean for firms.
- Compliance
Emerging Internal Audit Risks
Regulators increasingly expect internal audit teams to continually develop and enhance their audit plans in the face of new risks. An internal audit team must be proactive to stay one step ahead of emerging risks.
- AML and Financial Crime
Cyber Monday Cyber Safety Tips
With the holiday season upon us and Cyber Monday quickly approaching, it’s important you are following best practices to protect your identity when shopping online. According to research by DealAid.org, 94% of Americans plan to shop online this holiday season. In the wake of an increase in cyber breaches this year, ensuring your data is transmitted safely every time you use your credit card online is essential. Here are a few times for cyber safety this holiday season.
- Cybersecurity
Record fine issued for governance and control failings over regulatory reporting
Yesterday, the UK arm of a large international banking group was issued a record fine of £44 million for governance and control failings surrounding its capital adequacy and regulatory reporting. What lessons can firms learn from this enforcement?
- Compliance