Compliance Insights and Alerts

Regulatory change, COVID-19 fallout, and a rapidly mutating ecosystem of risks make this a challenging year for financial services firms. In our complimentary whitepaper, we examine the future of risk and compliance and how firms must respond to rapidly evolving circumstances.

The FCA has issued a consultation paper outlining the first of its intended changes to "UK MiFID" conduct and organisational requirements. Learn more about the main proposals, the rationale behind them and the implications for investment firms

Following the publication of the FCA's latest Investment Firm Prudential Regime (IFPR) proposals, we examine the impact on MiFID investment firms, including key highlights, considerations, requirements and deadlines.

ACA Group, the Investment Adviser Association, and Yuter Compliance Consulting invite you to participate in the 2021 Investment Management Compliance Testing Survey. This survey, now in its 16th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.

On Friday, April 8, 2021, the SEC’s Division of Examinations issued a Risk Alert for ESG Investing, putting an exclamation point on ESG being a top priority for the Commission.

ESMA has published a final report assessing the functioning of the Transaction Reporting regime under Article 26 of the Markets in Financial Instruments Regulation (“MiFIR”). Among a number of proposed changes perhaps the most impactful is the recommendation that UCITS management companies and AIFMs that are providing one or more MiFID services (i.e., Collective Portfolio Management or ‘CPMI’ firms) should be subject to transaction reporting