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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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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UK Buy Side Should Prepare for More FCA Market Abuse Scrutiny

The UK’s Financial Conduct Authority (FCA) is increasing its focus on market abuse at buy-side firms with new publications, activities and potential enforcement actions, according to panellists at a

Compliance Alert
  • Compliance
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Year-End Compliance Checklist for CCOs

With the holiday season here and year-end looming, the pressure is mounting to cross those final compliance to-do’s off the list and finish the year strong. We’ve developed the following checklist to help guide you through the key areas to consider as you head into 2019.

Article
  • Compliance
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Events

Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night

Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.

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