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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The Compliance Officer’s Plan for Recovery in the Next Phase of COVID-19

With the reopening phase of the COVID-19 pandemic underway, compliance officers will need to be strategic and agile in their approach to compliance management. Here are some key considerations to keep in mind.

Article
  • Compliance
  • BCP
  • COVID-19
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SEC Guidance for Paycheck Protection Program Related Considerations

The U.S. Securities and Exchange Commission recently issued guidance to financial institutions regarding some of the disclosure requirements and other obligations related to the Paycheck Protection Program and the impact of COVID-19.

Compliance Alert
  • Compliance
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FCA Market Watch 63 Reminds Firms of Market Abuse and Reporting Requirements During the COVID-19 Crisis

The FCA’s recently published Market Watch 63 reminds firms that they must continue to comply with their obligations around market conduct and reporting during the COVID-19 crisis. It highlights some changes to market activities and alternative working arrangements which represent a higher risk. We examine how firms should respond to the regulator's concerns.

Compliance Alert
  • Compliance
  • COVID-19
  • Trade Surveillance
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Whistleblowing and Why it Matters During Lockdown

Whistleblowing is seeing the highest level of activity since 2015, with employees ready to take their concerns straight to the competent authorities if not satisfied by internal remediation. We examine the importance of whistleblowing in a robust compliance framework and why it matters during lockdown

Compliance Alert
  • Compliance
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2020 Liquidity Risk Management Program Rule Survey

By participating in this survey, you can help us identify trends in how firms are complying with the rule and accounting for market closures and market volatility. Results will be presented later this summer so you can implement some of the most common practices at your firm.

Survey
  • Compliance
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The Regulatory Initiatives Grid and Implementing Regulatory Change in the UK

The Financial Services Regulatory Initiatives Forum (‘FSRIF’ or the ‘Forum’) recently published its Regulatory Initiatives Grid to help the financial services industry understand, and plan for regulatory change as a result of COVID-19. We examine the impact and areas of focus.

Compliance Alert
  • Compliance
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Events

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