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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
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How RegTech Can Enhance Your Firm’s GRC Program: A 4-Step Approach

Chief compliance officers (CCOs) and risk and compliance teams know they need regulatory technology to meet ever-increasing regulatory obligations as well as establish best practices for their firm’s governance, risk, and compliance (GRC) program that reduce operational risk and increase operational efficiencies. While the value added by a RegTech solution is clear, understanding the full scope of a GRC technology implementation can be a significant challenge. This blog post explains the four steps you can take to enhance the effectiveness of your firm’s GRC capabilities using technology.

Article
  • RegTech
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Online Safety for Children

October is National Cyber Security Awareness Month. Our 2018 theme is Online Safety for Children. Check out our resources for parents and caregivers on how to keep kids ages 3-18 safe online.

Article
  • Cybersecurity
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Case Study: ACA's Vendor Management Outsourcing Service for a Global Private Equity Firm

This case study explains how a global private equity fund manager utilized ACA's vendor management outsourcing service to reduce vendor management costs by 67.5% and decrease the time spent performing diligence from 12 hours to 30 minutes per vendor.

Case Study
  • Cybersecurity
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Trading Up: Considerations for Developing a 21st Century Trade Surveillance Program

The following article written by ACA's Michael Abbriano and Brett Ambrose appeared in the September 2018 National Society of Compliance Professional's Currents newsletter.

Article
  • RegTech