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Firms’ Non-Financial Misconduct Under FCA Spotlight Thanks to SM&CR

Sexual harassment and other forms of “non-financial misconduct” are now on equal footing with types of financial misconduct with the FCA. Firms and employees are at risk of regulatory sanctions for failure to fulfill the FCA’s evolving diversity and inclusion expectations.

Article
  • Compliance
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Joint Statement About Broker-Dealer Custody of Digital Asset Securities

A company that effects transactions in digital asset securities for its own account or the accounts of others must register as a broker-dealer under Section 15 of the Securities Exchange Act of 1934. In addition, these companies must meet the requirements of Rule 15c3-3 (the “Customer Protection Rule”) if they intend to custody digital asset securities.

Compliance Alert
  • Compliance
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ACA Compliance Group sells majority stake in Cordium Malta Limited

ACA has sold its majority stake in Cordium Malta Limited (“CML”) to Adam de Domenico. ACA acquired the entity in August 2018 as part of the acquisition of Cordium.

Press Release
  • ACA News
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Preventing Stormy Security Weather in Your Microsoft Office 365 Cloud Environment

Companies are relying increasingly on cloud service providers for conducting business, including storing data, hosting email, and more. But with the increasing regulatory focus on the risk of cloud data storage, is the forecast for cloud solutions stormy?

Article
  • Cybersecurity
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Capital One Breach Affects 100 Million Customers

On July 29, Capital One Financial Corporation announced that it had suffered a breach on July 19. On that date, an outside individual illegally accessed the personally identifiable information of over 100 million of its customers.

Cyber Alert
  • Cybersecurity
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New York State's SHIELD Act Signed into Law

The SHIELD Act significantly expands New York State's breach notification law.

Compliance Alert
  • Cybersecurity
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OCIE Issues Risk Alert Highlighting Deficiencies in Compliance, Supervision, and Disclosure of Conflicts of Interest

The SEC's OCIE issued a Risk Alert detailing compliance issues noted during examinations of advisers who hire or employ individuals with a history of disciplinary events.

Compliance Alert
  • Compliance
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Investment Adviser Standard of Conduct and Form CRS – What You Need Know (Part 2 of 2)

On June 5, 2019, the U.S. Securities and Exchange Commission issued the Standard of Conduct for Investment Advisers interpretation to reaffirm and clarify the SEC’s views of the fiduciary duty that investment advisers owe to their clients under the Investment Advisers Act of 1940.

Compliance Alert
  • Compliance
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Mirabella Group Launches New Tied-Agent Service in Malta

Mirabella Group, the regulatory hosting arm of ACA Compliance Group, announced that it has enhanced its hosting services in Malta by adding a Tied Agent solution to its existing alternative investment fund manager (AIFM) service. This new solution helps non-European Economic Area (EEA) firms to interact with their EEA clients using MiFID passporting.

Press Release
  • Mirabella
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MiFID II transaction reporting – Firms are still getting it wrong

Whilst the FCA’s priorities appear, for the time being, to be on understanding the nature and scale of reporting data errors and how they are addressed, failings under MiFID I moved it to take several high-profile enforcement actions. It is imperative that firms get to grips with their MiFID II transaction reporting processes and data quality checks as soon as possible.

Compliance Alert
  • Compliance
  • Trade & Transaction