Insights
Market Volatility - Important Regulatory Reminders
In light of the current COVID-19-induced market rollercoaster, firms are reminded of the MiFID II “10% rule”. This rule requires that firms providing portfolio management services to clients inform these clients if the overall value of their portfolio depreciates by 10% from the beginning of the last reporting period – and each 10% thereafter.
- Compliance
Pandemic Response and Business Continuity FAQs for Financial Services Firms
More restrictions are being put in place every day to contain coronavirus disease 2019 (COVID-19) that could affect your firm’s operations.
- Compliance
Protecting Against Cyber Crimes Related to Coronavirus (COVID-19)
Cybersecurity crimes related to the coronavirus (COVID-19) pandemic are on the rise. Here's what you need to know to remain vigilant and protect yourself.
- Cybersecurity
UK Spring Budget
The UK’s Chancellor of the Exchequer, Rishi Sunak, delivered his first Budget, dominated by a series of measures to counter the Coronavirus outbreak. Find out the key points affecting fund managers.
- Compliance
ACA Compliance Group Becomes Sponsoring Partner of AIMA
The move is designed to reinforce ACA’s unwavering commitment to providing the hedge fund community a superior customer experience through specialised expertise, a deep understanding of the regulatory landscape, and the holistic use of technology to maximise efficiencies and value to clients.
- ACA News
Business Continuity Planning Activation Checklist
We've developed a checklist to help you activate your business continuity and disaster recovery plans in response to the coronavirus disease 2019 (COVID-19).
- Compliance
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
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
- Compliance
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
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.
- Compliance