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November 11, 2020

The FCA recently published details for reporting net short positions in relevant UK shares and sovereign debt from 1 January 2021. We examine how the on-shored regime for short selling will operate in the UK firms once the Brexit transition period ends.

November 11, 2020

The SEC approved amendments to the “accredited investor” definition, which become effective on December 8, 2020. They aim to modernize the definition to more effectively identify institutional and individual investors that have the knowledge and expertise to participate in those markets.

November 10, 2020

As geopolitical change and uncertainty, regulatory sabre-rattling and industry shake-ups combine to create a perfect storm, we examine the impact for financial services firms on their trade and transaction reporting obligations under MiFIR, EMIR and SFTR.

November 06, 2020

Outsourcing risk and compliance activities can help firms navigate the future of risk and compliance in the age of RiskMutation™ through better results, increased agility, and scale for less. Get our outsourcing strategic roadmap here.

November 06, 2020

To continue providing the fund industry with transparency and insight into how peers are approaching compliance with the liquidity program rule, we are pleased to present the results of our third annual Liquidity Risk Management Program Rule survey.

November 04, 2020

ACA Broker-Dealer Services invites you to download the latest edition of our newsletter. Our latest newsletter contains a year-end compliance checklist to help broker-dealers confirm they have completed their compliance obligations for 2020.