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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Mirabella’s Response to the FCA’s review of principal firms in the investment sector

The FCA recently published the conclusions of its review of principal firms in the investment management sector. We examine the relevance of the findings and outline how the FCA rated Mirabella in the review.

Compliance Alert
  • Compliance
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FINRA Provides Guidance Regarding Suspicious Activity Monitoring and Reporting Obligations

FINRA recently issued Regulation Notice 19-18 (the “Notice”), which provided guidance to member firms regarding their monitoring obligations with respect to suspicious activity pursuant to the Bank Secrecy Act (“BSA”) and anti-money laundering (“AML”) requirements.

Compliance Alert
  • Compliance
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Q&A: The New Prudential Regime - What Does This Mean for You?

The Investment Firm Regulation (IFR), a new prudential framework developed by the European Commission (EC), will soon apply to all MiFID investment firms. The vast majority of investment firms will need to adapt to a new set of capital, liquidity, and reporting requirements. Whether or not you believe these rules are simpler and more proportionate to investment firms, you need to be prepared.

Article
  • Compliance
  • FCA
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Transaction Reporting: Six Common Failings

Hot on the heels of two well publicised MiFID I fines for transaction reporting failings, the FCA has published Market Watch 59, the content of which is totally monopolised by transaction reporting. This signals that the regulator is now squarely turning its attention to failings under the MiFID II regime. The FCA once more reinforces the importance of complete and accurate transaction reports.

Compliance Alert
  • Compliance
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ACA Compliance Group Announces Online Insider Trading Awareness Training for Investment Advisers

ACA Compliance Group is excited to announce the expansion of its online training platform which allows ACA to provide a variety of customized trainings for registered investment advisers across the industry.

News
  • Compliance
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The Changing Landscape of Compliance Staffing

The staffing needs for financial services firms are constantly evolving. The ever-changing regulatory landscape combined with the increasing adoption of regulatory technology can make finding and retaining qualified staff with the required proficiencies a challenge for HR departments and recruiters.

Article
  • Compliance
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Events

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