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Wrap-Up of ACA's Fall 2018 Compliance Conference

ACA Compliance Group's 2018 Fall Compliance Conference was held from October 3rd through 5th at the Hyatt Regency

Article
  • Events
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UK Budget 2018

The UK’s Chancellor of the Exchequer has delivered his 2018 Budget. This was supposed to be his final Budget before the United Kingdom leaves the European Union on 29 March 2019. That said, depending on whether a “No Deal” Brexit prevails, he has signalled that he might well squeeze another one in.

Article
  • Compliance
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MSRB Published Revised FAQs with Respect to New MSRB Rule G-40

On September 17, 2018, the Municipal Securities Rulemaking Board (“MSRB”) published a revised set of frequently asked questions (“FAQs”) regarding the application of MSRB Rule G-40 to advertising by municipal advisors.

Compliance Alert
  • Compliance
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Growing Interest for Asset Owners to Claim Compliance with the GIPS Standards

The popularity and worldwide adoption of the GIPS standards by investment management firms is largely due to demand by asset owners. In the interest of risk management, asset owners increasingly require external investment managers to comply with the GIPS standards. Recently, more asset owners have begun to apply the same principles to their own performance reporting and ACA Performance Services is seeing growing interest in attaining GIPS compliance among the asset owner community.

Article
  • Performance
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OCC AML Priority To Target Regulatory Change

The US Office of the Comptroller of the Currency (OCC) has indicated that it will be focusing on the effectiveness of anti-money laundering (AML) systems and controls after including the topic on its list of FY 2019 annual priorities. For OCC-regulated banks, this means exams will concentrate on how up-to-date AML and Bank Secrecy Act (BSA) programs are with evolving threats and new rules.

Article
  • AML and Financial Crime
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How ETP Managers Can Ensure Compliance with Continued Listing Standards

In early 2017, the SEC approved rule-change proposals establishing continued listing standards for passively and actively managed exchange-traded products. More specifically, the rules require ETP issuers and managers to adopt new monitoring and oversight protocols to ensure continued compliance with the applicable listing standards. In the event an ETP falls out of compliance with the standards, the Manager must promptly notify the appropriate Exchange.

Article
  • Compliance
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FCA Turns Up the Heat on Market Abuse Controls

Recent activity points to the FCA rapidly increasing its focus on market abuse risk, trade surveillance and controls. This activity possibly pre-empts upcoming thematic work or supervision and enforcement work in this area.

Compliance Alert
  • Trade Surveillance
  • FCA
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Increased Demand from OCIOs Claiming GIPS Compliance

The release of the Exposure Draft of the 2020 Global Investment Performance Standards (GIPS) in August has forced many firms to assess how the new requirements will impact their business, both from marketing and operational perspectives. Not only will this impact firms currently claiming compliance with the GIPS standards, but also those considering doing so.

Article
  • Performance
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Are You Ready? SFC's FMCC Compliance Checklist

On November 18, 2018, this new set of rules will come into force, bringing additional governance, operational, and disclosure requirements. As the FMCC countdown clock ticks ever closer to the deadline, these are the key compliance components that fund management firms should have in place before impact day.

Article
  • Compliance
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FCA Warns Firms Over Market Abuse Surveillance

The UK’s Financial Conduct Authority (FCA) outlined a number of observations relating to market abuse surveillance. These should serve as a reminder and encourage investment management firms to review their existing policies, systems and controls in this area. But what does this guidance say and how should firms best take heed?

Article
  • Compliance