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Insights
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U.S. Tax Season Starts this Week — Here are Some Scams to be Aware of
This week is Tax Identify Theft Week in the U.S.
- Cybersecurity
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What to Expect from Electronic Communications Exam Requests
SEC examinations of Registered Investment Advisers are on the rise. Here's a look at what the regulators are asking for and considerations for production.
- Compliance
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5 Ways Our Vendor Management Platform Can Ease the Burden of Managing the Vendor Lifecycle
Are you tired of managing your vendors with spreadsheets? Do you have a different tab for every third party? Does the prospect of a regulatory exam make you break out into a cold sweat?
- Cybersecurity
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New Prudential Framework: Impact Analysis for EU Investment Firms
The premise of the new rules will be to ensure investment firms have a prudential framework designed to be simpler and more proportionate to the operations of these types of firms. However, these changes will result in significant alteration to how investment firms measure their capital for regulatory purposes.
- Compliance
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ACA's Top 10 Webcasts of 2017
ACA Compliance Group offers many webcasts throughout the year featuring discussions on timely topics and issues ranging from regulatory compliance, performance, financial crime, and cybersecurity.
- ACA News
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Recent Regulatory Reporting Updates - What Your Firm Needs to Know
Firms in both the U.S. and the UK need to be aware of recent changes made to regulatory reporting forms.
- Compliance
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GIPS Standards Executive Committee Delays Effective Date Guidance Statement on Broadly Distributed Pooled Funds
The Guidance Statement on Broadly Distributed Pooled Funds was approved on 13 March 2017.
- Performance
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Anti-Money Laundering and Trade Finance: What You Should Know
Due to the nature of its business, trade finance is considered a high-risk product that is frequently used by individuals and criminal organizations to launder funds, conduct terrorist financing, an
- AML and Financial Crime
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How Link Analysis Can Help In Anti-Money Laundering Investigations
Link or network analysis can help the compliance risk industry better analyze data sets to discover alarming patterns.
- AML and Financial Crime
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The Exposure Draft of GIPS Standards Guidance Statement on Overlay Strategies
Last summer, CFA Institute released the Exposure Draft of the GIPS Standards Guidance Statement on Overlay Strategies. Historically, this segment of the investment industry has not received much in the form of ethical best practices in calculating and presenting performance, and this release was the first attempt by CFA Institute to issue official guidance for overlay managers.
- Performance