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Regulatory change is here for Private Fund Advisers

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The End of LIBOR: How Credit Managers and other Alternatives should Manage the Transition

On 27 February 2020, the FCA wrote a 'Dear CEO' letter to all asset management firms setting its expectations for firms to prepare for the termination of LIBOR at the end of 2021. This letter is the latest in a barrage of co-ordinated messages from the UK authorities to chivvy the industry into action. We examine what this means for the buy-side community.

Compliance Alert
  • Compliance
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European Compliance Officer's Checklist for 2020

Recent years have been demanding on financial services compliance departments and the impact of recent regulatory developments will be felt this year. Our European CCO Checklist for 2020 tracks key compliance obligations for the year ahead

Article
  • Compliance
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Guidance on Business Continuity and Disaster Recovery Planning for Coronavirus Disease 2019 (COVID-19)

With the threat of the coronavirus disease 2019 (COVID-19), firms should revisit their business continuity and disaster recovery planning in response to a pandemic.

Compliance Alert
  • Compliance
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Getting Brexit ready – About the Temporary Permissions Regime, and how to apply

Brexit is now a fact, meaning many European asset managers are considering how to ensure uninterrupted access to the UK market. Find out why the UK’s Temporary Permissions Regime (TPR) is an important part of firms’ strategic planning, post-Brexit.

Article
  • Compliance
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Practical Guidance: The 2020 GIPS Standards for Asset Owners

As a result of increased transparency and due diligence on the part of asset owners, there is growing interest in attaining GIPS compliance among the asset owner community.

Report
  • Performance
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White Paper: Top 10 Risk and Compliance Challenges for 2020 and Beyond

ACA’s top 10 risk and compliance challenges for 2020 and beyond white paper underscore both the complexity of the challenges that risk and compliance teams are facing, as well as the need to evolve the compliance function to adopt a fresh approach.

Report
  • Compliance
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OCIOs look to the GIPS standards to provide greater performance transparency

The Outsourced Chief Investment Officer (“OCIO”) model became widely adopted about a decade ago and since then the industry has grown rapidly, with well over 100 firms providing some level of these services.

Article
  • Performance
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GIPS Compliance Notification Form Now Available

Firms that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance. Each GIPS-compliant firm must submit the GIPS Compliance Notification Form by June 30 of each year.

Article
  • Performance
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ACA Compliance Group Adds Payment and Fraud Risk Assessment Service

Our payment and fraud risk assessment offering is designed to help firms identify and remediate vulnerabilities within payment flows in order to reduce the risk of costly fraud issues. Learn how we can help your firm.

News
  • ACA News
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Payment Fraud: Understanding the Risks and Protecting Yourself and Firm

Payment fraud threats are a major concern for financial services firms globally, with fraud trends reflecting a continued and sustained growth over the past few years. It has become essential that firms are proactive in predicting and assessing their exposure to these threats in order to mitigate the likelihood and impact of a payment fraud incident.

ComplianceAlpha Update
  • Cybersecurity