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Insights
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GDPR is Live – How to Ensure Ongoing Compliance
The European Union’s General Data Protection Regulation (GDPR) entered into force on 25 May 2018 after a last-minute scramble by organisations across the globe to establish their privacy programs and update privacy notices. Now that your firm has (hopefully) built its GDPR compliance program, what should you be doing to ensure ongoing compliance with the regulation?
- Cybersecurity
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SM&CR Paves the Way for Increased Individual Responsibility
In its 2018-19 business plan, the FCA make it one of its cross-sector priorities to finalise the rules and extend the Senior Managers & Certification Regime to all FCA-authorised firms. This blog outlines the current regulatory thinking in this area and what firms should be doing to prepare themselves for the looming changes.
- Compliance
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Now Batting: The SEC's Form N-CEN with Two on Deck
As of June 1, 2018, registered investment companies are required to file Form N-CEN with the Securities and Exchange Commission (“SEC”) on an annual basis. This new form replaces the semi-annual census reporting on Form N-SAR and must be filed within 75 days of a fund’s fiscal year end (with an exception for unit investment trusts, which must file within 75 days of calendar year end).
- Compliance
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ACA Technology Announces Version 3.0 of ACA's Decryptex Trade Surveillance Solution
Key features include integration with ACA’s ComplianceAlpha®, single sign-on (SSO) support, and a redesigned user interface.
- Trade Surveillance
- ACA News
- RegTech
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ACA Aponix Launches Online GDPR Awareness Training Course
ACA's e-learning course on the EU's General Data Protection Regulation (GDPR) is designed for employees of GDPR-implicated organizations.
- Cybersecurity
- Privacy
- ACA News
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GIPS Standards Performance Record Portability
Portability refers to the ability of a GIPS-compliant firm to present a track record that was achieved at another firm. When one firm hires a portfolio manager, there is usually a desire to market the portfolio manager’s track record while employed at the prior firm.
- Performance
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Market Exposure: The Importance of a Comprehensive Compliance Review
In 2002, the Sarbanes Oxley Act was enacted to augment the regulation of accounting and disclosures for public companies. This was in direct relation to aggressive accounting methods, the technology bubble, and other instances of corporate malfeasance.
- Performance
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New prudential regime for investment firms: how are MiFID managers impacted?
The prudential framework is a new rulebook developed by the European Commission for investment firms. It is designed to be simpler and more proportionate to a firm’s operations. Last month we looked at the impact on Exempt CAD firms. Now we examine the regime’s impact on the capital and liquidity requirements on MiFID managers.
- Compliance
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Don’t Get Burned. Do You Have Compliance Coverage this Summer?
Summer is finally here! With Memorial Day marking the unofficial start to summer it’s time to take a break, but in the compliance industry it’s not as simple as turning on your “out of office” and walking out the door. Compliance officers and managers need the assurance that they can leave the office and still have the resources available to fulfill both their regulatory obligations and their fiduciary duty to clients.
- Compliance
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As Regulators Catch Up with the Crypto Craze, Investors Should Exercise Caution
Cryptocurrency and its applications within the financial industry are now mainstream news, with new instruments, products, and price fluctuations capturing headlines daily.
- Cybersecurity