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

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RiskMutation™ Drives Firms to Seek Enhanced Solutions for Managing Rapidly Evolving Risk and Compliance Challenges

RiskMutation is accelerating the need for financial services firms to modernize and rethink their risk and compliance operating models through the adoption of enhanced solutions and trusted third parties.

Article
  • Compliance
  • RiskMutation
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SEC Registration Freeze Has Been Lifted For UK-Based Firms

Indications are that the SEC has begun to approve pending registrations of UK-based advisers wishing to do business in the U.S or to attract U.S. investors. We outline what this means for firms.

Compliance Alert
  • Compliance
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UPDATE: FCA Announces Last-Minute Extension of MiFID 10% Depreciation Reporting in the UK

The FCA have issued a last-minute statement declaring a further six-month extension and subsequent amendments to the Covid-19 measure brought into effect in March 2020. As a result, the MiFID 10% Depreciation Regime has now been extended to 30 March 2021.

Compliance Alert
  • Compliance
  • FCA
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MiFID 10% Depreciation Rule: The End of the FCA’s Flexible Approach is Nigh

The FCA has announced a last-minute extension of MiFID 10% Depreciation Reporting in the UK. The Covid-19 measure is now in force until 30 March 2020.

Compliance Alert
  • Compliance
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SEC Announces Settlement with Broker-Dealer for Failure to Retain Text Messages

The SEC found that the broker-dealer's failure to retain the text messages was in direct violation of Section 17(a) of the Securities Exchange Act of 1934 and Rule 17a-4(b)(4) thereunder, which requires firms to preserve original copies of certain business-related communications sent or received for three years.

Compliance Alert
  • Compliance
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The Future of Risk and Compliance in the Age of RiskMutation™

Find out what RiskMutation™ is and why it's accelerating the modernization of risk and compliance management.

Article
  • Compliance
  • RiskMutation
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Events

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