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Cybersecurity And The Workplace: Part 3

In part 3 of our series, we discuss how to confront cybersecurity workforce shortages through flexible hiring and retention strategies

Article
  • Cybersecurity
  • Cybersecurity Resources
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Transaction Reporting Still Not a Priority for Firms, Despite Recent ESMA Fine

New research reveals that confidence among financial services firms in the quality of their own transaction reporting is declining – down to 65% from 87% in 2021. This confirms concerns around inaccurate regulatory reporting leading to fears of undetected market abuse and an inability to monitor for systemic risks.

Press Release
  • Compliance
  • FCA
  • Trade & Transaction
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New FCA Climate-Related Disclosure Obligations: Start Planning Now

Enhanced FCA climate-related disclosures come into play for many asset managers from 1 January 2023. Compliance is closely aligned to the Taskforce on Climate-Related Financial Disclosures (“TCFD”). Download our guidance sheet to start planning for the upcoming changes.

Compliance Alert
  • Compliance
  • FCA
  • ESG
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Summary of FINRA Regulatory Actions in 2021

FINRA brought 126 enforcement actions and issued fines totaling almost $100M in 2021. In comparison, FINRA only issued a total of $57M in fines during 2020.

Compliance Alert
  • Compliance
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UPDATE: Okta Concludes Investigation, Determines Only Two Tenants Affected

An update from a previous cyber alert. Okta has revealed the impacted customers trace back to a January security incident.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
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Q2 2022 Regulatory Reporting Deadlines

SEC, FCA, ESMA, FINRA, and CFTC/NFA regulatory filing submission deadlines occurring from April through June 2022.

Article
  • Compliance
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Microsoft Identifies Critical Remote Code Vulnerability

On April 12, 2022, Microsoft notified users of a remote code execution vulnerability (CVE-2022-26809). Immediate patching is needed.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
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FINRA Reminder of Liability for Failing to Discharge Rule 3110

FINRA Regulatory Notice 22-10 reminds members of their liability if they fail to discharge Rule 3110 about designated supervisory responsibilities.

Compliance Alert
  • Compliance
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Division of Examinations’ 2022 Exam Priorities: An Increased Focus on ESG

The Division’s focus on ESG is based on several issues that have emerged during the recent surge in investor interest in ESG related topics.

Article
  • ESG
  • SEC
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Checklist: How to Ensure Compliance with Financial Sanctions Obligations

Responding to the Russia-Ukraine conflict, the UK Government has imposed sanctions on Russia. FCA-regulated firms are obligated to implement systems and controls to prevent financial crime. With the authorities increasing their focus on financial sanctions, download our checklist to be sure you are considering key tasks.

Compliance Alert
  • Compliance
  • Cybersecurity
  • Managed Services
  • FCA
  • ComplianceAlpha