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SEC Investigating Data Leak at First American

Real estate title insurance giant First American Financial Corp. is being investigated by the SEC for a data leak that exposed over 885 million personal records from as far back as 2003.

Compliance Alert
  • Cybersecurity
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Top Lessons Learned from Conducting a 2020 GIPS Compliance Verification

Following the release of the 2020 GIPS Standards by CFA Institute on June 28, 2019, firms are encouraged to early adopt the new provisions. One such firm did early adopt, and ACA Performance Services is excited to announce we recently issued our first verification report under the 2020 GIPS Standards.

Article
  • Performance
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When it Comes to Compliance, is Ignorance Bliss or a Potential Liability?

With a raft of regulatory changes coming into force over the last few years, financial firms have incurred many system, process, policy and procedure changes. Overseeing and managing all of the moving pieces presents a challenge for compliance teams. How can Senior Management and Compliance Officers be confident that their governance, risk, and compliance framework is current, sufficiently comprehensive and ultimately effective to avoid regulatory scrutiny?

Article
  • Compliance
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FCA Raises Further Concerns on Access to Inside Information

Following the conviction of a former compliance officer of a major investment bank, the FCA raises concerns on the control of access to inside information. We examine the regulator's findings and recommendations, and what this means for financial services firms.

Compliance Alert
  • Compliance
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Less than 2% of firms are fully prepared for SM&CR

A survey conducted on preparation for the FCA’s Senior Managers and Certification Regime, (SM&CR) has revealed that most firms have significant work to do, as they prepare for its extension to all authorised firms on 9 December 2019.

Compliance Alert
  • Compliance
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Deadline Approaching for Treasury International Capital (TIC) Form SHL (TIC SHL)

The U.S. Treasury and the Federal Reserve Bank of New York will collect data regarding non-U.S. residents’ holdings of securities of U.S. issuers via Form TIC SHL. This mandatory collection is conducted every five years. The filing deadline is August 30, 2019, and data must be reported as of June 30, 2019.

Compliance Alert
  • Compliance
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The 2020 GIPS Standards: Opening Doors for Alternative Managers

The 2020 edition of the GIPS Standards was released on June 28, 2019. One of the major initiatives of the overhaul was to make compliance with the GIPS standards easier for alternative managers.

Article
  • Performance
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6 Hot Topics in Employee Compliance

Is your code of ethics monitoring and personal trade surveillance compliance program built to beat the heat? This blog post recaps our recent webcast on this topic and provides best practices for navigating complex and evolving areas of compliance management, including cryptocurrency, pay-to-play, robo-advisors, and more.

Article
  • RegTech
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CCPA Amendments to Be Finalized in October 2019

The California Consumer Privacy Act (CCPA) is scheduled to go into effect on January 1, 2020.

Compliance Alert
  • Cybersecurity
  • Privacy
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Six Ways Financial Organizations Stumble Over KYD for Financial Crime Technology

Effective AML compliance requires a data governance program to address the acquisition and management of the data – also known as “know your data” or KYD. This is a hot topic for financial institutions monitoring client transactions for money laundering, terrorist financing, or other forms of financial crime.

Article
  • AML and Financial Crime