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Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

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SEC Issues $1M Fine for Failure to Disclose Breach Information

The SEC recently fined a company for providing misleading information about a breach it suffered. This fine serves a warning for companies to not only protect themselves against cyber incidents, but to fully disclose information about cyberattacks if they occur.

Cyber Alert
  • Cybersecurity

Preparing for 2022: Compliance Budget Considerations, Priorities, and Helpful Tips

As we enter the second half of 2021, it’s time to start preparing for 2022 and establishing a compliance budget for the upcoming year. To help firms planning for their 2022 fiscal year budget, or those adjusting spend to tackle new initiatives, get started, we have gathered from compliance professionals tips that will explain the foundational needs of a compliance budget, how that looks in action, and how to prepare for the unexpected.

Article
  • Compliance
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EEA Firms Applying for Full Authorisation Under the TPR: Challenges and Potential Pitfalls

The FCA are now contacting firms about their Brexit landing slots, sometimes at very short notice. It’s vital that they start planning now as putting together a good FCA application is not straightforward and likely to take longer than the three-month window. We examine what this means for impacted firms.

Compliance Alert
  • Brexit
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Key Takeaways from 1LoD’s Trade Surveillance Deep Dive Report 2021

Industry analyst 1LoD recently hosted a two-day Deep Dive on the future of trade surveillance. Attendees were from all over the globe and represented financial institutions (78%), technology firms (19%), and regulators (2%). ACA’s Michael Lehman, Partner and product manager for ACA’s Market Abuse Surveillance technology in ComplianceAlpha®, spoke at the event.

Report
  • Regulatory Technology
  • Trade Surveillance
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FCA Publishes Consultation on Climate-Related Financial Disclosure

Ahead of COP26 in November 2021, the FCA has published consultation paper (CP 21/17) on the implementation of mandatory TCFD disclosures. For many firms, data gathering requirements start from 1 January. We outline the considerations for firms in scope.

Compliance Alert
  • ESG
  • Compliance
  • FCA
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Peer Analysis Infographic | MIFIR Transaction Reporting: Perception vs. Reality

When it comes to MiFIR Transaction reporting how confident are you? Or more importantly, how confident should you be? Our peer analysis infographic reveals worrying results that suggest that most firms still have a long way to go

Article
  • Compliance
  • Trade & Transaction
  • Managed Services
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How Does Recent Guidance on Principal and Cross Trades Apply to Real Estate and Private Equity Advisers?

On July 21, 2021, the Division of Examinations released the "Cross Trade Risk Alert". Although this risk alert is focused on fixed income investments, what can real estate and private equity managers, including those that do not invest in fixed income instruments, learn from this risk alert and other SEC staff activities related to principal and cross trades?

Article
  • Compliance
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FCA Clears the Way for Potentially Greater UK SPAC Issuance

With a growing European SPACs market and the UK's goal to make London more attractive to compete with other markets around the world, we outline key considerations for firms ahead of new SPACs listing rules coming into force on 10 August in the UK

Compliance Alert
  • Compliance
  • Brexit
  • Managed Services
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Achieving Differentiated Support for Private Equity Firms

Fundraising and compliance challenges are expected to increase for private equity firms in the second half of 2021 into 2022. We speak with Private Equity Wire about why support that blends practical and regulatory advice is becoming critical.

Article
  • Compliance
  • ComplianceAlpha
  • ESG
  • Cybersecurity
  • Regulatory Technology
  • Mirabella
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FINRA Amends Rules 5122 and 5123 Filing Requirements to Include Retail Communications that Promote or Recommend Private Placements

On July 15, 2021, FINRA issued Regulatory Notice 21-26 to announce new amendments to Rules 5122 and 5123. Under the revisions, broker-dealers must file retail communications that promote or recommend private placement offerings subject to the rules’ filing requirements as of October 1, 2021.

Compliance Alert
  • Performance
  • Compliance