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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Investment Firm Regulation Update: Agreement Reached on Next Steps for New Prudential Regime for Investment Firms

The new prudential framework has been developed by the European Commission (EC) and will soon come into force for MiFID investment firms. For some, this will be the first time any onerous capital, liquidity and reporting regime has applied to them. The ‘prudential holiday’ that many commodity trading firms have enjoyed will soon be coming to an end.

Compliance Alert
  • Compliance
  • FCA
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Senior Managers & Certification Regime: 6 major challenges for firms

As firms look to address the FCA’s Senior Managers and Certification Regime (“SM&CR”), ahead of the December 9 deadline, we observe six common themes and challenges emerging from their project implementation.

Article
  • Compliance
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UK Self-Assessment: Post-Submission Challenges

The 2017/18 UK tax return deadline has now passed, but did you know there are a range of post-submission challenges that may impact you - some of which you may not be aware of? These include, Disappearing Payments on Account, Delays in Processing Amended Tax Returns, Ongoing Class 2 National Insurance Problems and Scams. Our personal tax specialist, Paul Webster, provides guidance on how to address these challenges.

Article
  • Compliance
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New Year, New Risks - Support Solutions for CCOs in 2019

As the government shutdown continues and uncertainty abounds,

Article
  • Compliance
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Potential Risks for Banks Using Third-Party Broker-Dealers

Third-party risk management is a key priority for banking regulators like the Office of the Comptroller of the Currency (“OCC”). Every one of the many thousands of service providers a bank may use exposes them to different levels of risk - some of which can be serious and costly. This is why banking regulators are requiring strong, risk-based due diligence and ongoing monitoring before and after a third party is hired. Roy Kim explains what you need to know.

Article
  • Compliance
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One Year On: MiFID II Continues to Challenge

As of today, 3 January, the EU’s Markets in Financial Instruments Directive II (MiFID II) has been live for a year.

Article
  • Compliance
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Events

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