Compliance Program Development and Enhancement

Navigate the changing risk and compliance landscape

As new rules and regulations are adopted and the regulatory landscape evolves your compliance programme must keep pace or risk leaving your firm exposed.

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Our solutions

In additional to ongoing compliance manual maintenance support, our team can assist you with a range of topical compliance challenges, including:

AIFMD Consulting & Support

Drafting of your documentation, policies, procedures and controls for AIFMD impacted EEA-based investment managers of alternative investment funds, and also non-EEA advisers who wish to market such funds into the EEA.

Stay on top of financial crimes-related threats and regulatory concerns with AML consulting support. We can support with independent testing and risk management, as well as, development of AML, KYC/CDD, FCPA and anti-bribery, and cybersecurity policies and procedures.

Updating of policies, procedures and compliance manuals for firms with a UK-based presence, reflecting new rules and regulations following the exit of the UK from the European Union.

Policy and procedure development and program management including carbon footprinting, climate risk scenario analysis, net-zero management, DEI baselining and training, portfolio performance assessment, reporting (UN PRI, TCFD, SFDR), and marketing and disclosures reviews.

FCA Marketing Abuse Regulation (MAR) Solutions

Focused and cost-effective assessment of your firm’s policies, procedures, monitoring program, surveillance techniques, and controls environment. We can also provide a deep-dive review, benchmarking, and testing of your firm’s market abuse arrangements.

LIBOR

Assistance in devising your LIBOR transition plans, assessing and reviewing your firm’s reliance and usage of LIBOR, or performing a gap analysis review of your transition work to date.

Our investment company team will help you to navigate the SEC’s liquidity risk management program rule through educational resources and alerts, benchmarking insight, help with program management and development of policies and procedures, annual assessments.

MiFID II Consulting & Support

Our post-implementation review is designed to review, test and benchmark your MiFID II program to identify gaps and reduce your regulatory risk.

Our prudential team are on-hand to help provide regulatory oversight of your firm’s capital monitoring and forecasting, and regulatory reporting processes. This includes support with the upcoming Investment Firms Prudential Regime (IFPR).

Regulation Best Interest (Reg BI) and Form CRS

We can help broker-dealers understand the compliance and operational issues presented by Reg BI as they relate to their retail business. Our consultants can assist in designing customized procedures that will detail the steps needed to address Reg BI’s requirements as they relate to your firm.

SM&CR Compliance Solutions

Post-implementation reviews of your documentation, framework and internal process, gap analysis, as well as senior manager and conduct rule training.

Policy and procedure development and thematic project support to help make sure your trade and transaction reporting is in line with MiFID/MIFIR and EMIR regulatory requirements.

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Latest insights

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SEC Private Fund Adviser Rules: What Made the Cut

The SEC recently voted to adopt new rules and amendments, known as the Private Fund Adviser Rule. Here's a summary of the new rules and how they changed from the original proposals.

Compliance Alert
  • Compliance
  • Performance
  • Private Fund
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The New TPF Regime: Treating Politicians Fairly?

The FCA has asked politically exposed persons to share their experiences with regulated firms as part of the regulator's review of firms’ treatment of PEPs.

Compliance Alert
  • Compliance
  • AML and Financial Crime
curved glass building looking up at a blue sky

The SEC Adopts Private Fund Adviser Rules – What Firms Should Know

The SEC’s recent vote to adopt the Private Fund Adviser Rule (IA-5955) presents some of the most significant private funds regulatory reform since the Dodd Frank Act. Read our summary of the Final Rules and our guidance for firms.

Compliance Alert
  • Compliance
  • SEC
  • Private Fund
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White Paper: Unveiling Industry Perspectives on the SEC’s Proposed Cyber Rule 206(4)-9

The public has weighed in on the SEC's proposed Rule 206(4)-9, which sets cybersecurity risk management expectations for investment firms. In this guide, we discuss the industry's reaction, exploring the main areas of concern for the Rule.

Report
  • Cybersecurity
  • Compliance
  • SEC
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Regulatory Enforcement of Off-Channel Communications

The U.S. SEC has charged 11 financial firms for failing to maintain electronic communications, imposing penalties of over $289 million. This is part of a broader crackdown, with previous cases involving similar charges and penalties exceeding $1.5 billion, raising industry concerns about proper recordkeeping.

Compliance Alert
  • SEC
  • Compliance
  • RegTech
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FCA Publishes Market Watch 74

The UK FCA's Market Watch 74 focuses on transaction reporting issues, highlighting improvements but persistent data quality problems. It covers MDP usage, E&O submissions, validation rules, decision maker identification, and more.

Compliance Alert
  • FCA
  • Compliance

News

ACA Mirabella Celebrates Ninth Consecutive Year of Success at With Intelligence HFM European Services Awards

We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.

ACA Announces Expansion of the Executive Leadership Team with Key Appointments

ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.

Highlights From the 2024 ACA Conference

As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.

Upcoming events