Compliance Insights and Alerts

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Compliance teams are constantly challenged to keep pace with ever-evolving regulatory 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 compliance trends, industry insights, risk alerts, and events.

Latest insights and alerts

Sea and rocks

Finding Leverage - How Debt Investors are Tackling the Challenge of ESG

With an abundance of optimistic growth projections centered around credit markets, 2021 is predicted to be a banner year for portfolios weighted in private debt. But just how easy is it to incorporate ESG criteria into a private debt portfolio?

Article
  • ESG
  • Compliance
London at night

FCA Business Plan 2021/2: A New Era in Financial Services Regulation in the UK?

The FCA’s Business Plan for 2021/22 is now live, reflecting a major shift in policy objectives and a top to bottom review of the FCA’s own objectives and priorities. We outline the key changes and challenges identified, and what they mean for firms.

Compliance Alert
  • Compliance
  • ESG
  • FCA
  • Managed Services
  • Brexit
  • Mirabella
Light through blocks

96% of Firms Unprepared for the FCA’s New Prudential Regime

With less than six months to go until UK investment firms are subjected to a completely new prudential regime, a recent survey reveals that the industry is vastly underprepared. The data shows that just 4% of respondents are ready and capitalised for the FCA’s new Investment Firm Prudential Regime (IFPR) coming into effect in January 2022. Learn more about what this means for firms.

Press Release
  • Compliance
  • ACA News
ESG solar 1200x900.jpeg

A Spotlight on the United Nations Climate Change conference, COP26

This year, heads of state, climate experts and campaigners will meet at the 26th United Nations Climate Change conference (COP26) to agree coordinated action to tackle climate change, but which developments are likely to be most important from the perspective of the financial services industry? And what does all this mean for firms in the future?

Article
  • ESG
  • Compliance
brexit 2

Post-Brexit FAQs - FCA Authorisation and Compliance for EEA Firms in the TPR

The FCA is now offering firms that signed up to the Temporary Permissions Regime a “landing slot” to apply for full authorisation. Firms that miss their slot risk losing their temporary permissions completely. Read our FAQ's to learn more about your requirements.

Compliance Alert
  • Brexit
  • FCA
  • Compliance
abstract black and white looking up at bridge rails

Q3 2021 Regulatory Reporting Deadlines

Regulatory filing submission deadlines for the SEC, CFTC/NFA, and ESMA occurring from July through September 2021

Article
  • Compliance
  • Regulatory Deadlines
  • RegTech
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Events

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