Compliance Program Development and Enhancement
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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Senior Managers & Certification Regime (SM&CR): What You Need to Know
The UK’s financial regulator recently announced 9 December 2019 as the deadline for the implementation of the Senior Managers & Certification Regime (SM&CR, or SMCR) for solo-regulated firms. With the regulation set to impact 47,000 financial firms, we answer some common questions that firms may have on the upcoming SM&CR.
- Compliance
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MiFIR Transaction Reporting: Key Issues Highlighted by the FCA
With a significant increase to the number of reports ingested and the uptick in the number of firms submitting data, the FCA has been able to build a clearer picture of the behaviours of firms’ and their clients. However, the regulator is stressing the importance of reporting data quality, accuracy and completeness, with a particular focus on the following issues.
- Compliance
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The CFTC Expands Its Regulatory Approach to Cryptocurrencies
The U.S. Commodity Futures Trading Commission (CFTC) has taken several actions to flesh out its regulatory approach to cryptocurrency transactions that are classified as commodities. There’s no doubt that US regulators will continue to publish new materials on cryptocurrencies as the year progresses. How should firms that wish to engage in cryptocurrencies prepare?
- Compliance
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Compliance Culture: Building an Approach on Three Core Values
Most firms find “compliance culture” an important, yet elusive, term that is difficult to define and even more challenging to shape and nurture. However, it’s clear that a compliance culture sets the basis of behavior, integrity and accountability across an organization. But what are the core values that can help firms focus their overall efforts to build a compliance culture more effectively?
- Compliance
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Midterm Elections Are Coming Up: How is Your Firm Monitoring Contributions and Government Relationships?
The midterm elections are a few short months away, and a number of recent administrative proceedings against both registered investment advisers and exempt reporting advisers by the U.S. Securities and Exchange Commission (“SEC”) should serve as a valuable reminder of the importance of actively monitoring for risks that exposure to government entities or political parties may present. Here are helpful insights and suggested action items to help advisers mitigate these risks.
- Compliance
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Record Keeping: Putting it to the test – A Q&A with Charlotte Malin and Matthew Chapman
A key pillar of the MiFID II regime is the record keeping requirements that underpin many of the new or enhanced obligations. Now seven months after MiFID II implementation, what challenges have these requirements created for the buy-side? We discuss this with senior compliance consultants, Charlotte Malin and Matthew Chapman.
- Compliance
News
Advisers’ Concerns of Off-Channel Communications Surpasses the Marketing Rule as Top Compliance Concern, Survey Reveals
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey.
ACA Group Named Most Preferred Workplace by Marksmen/India Today 2024-2025
ACA Honored with Marksmen/India Today Award for Most Preferred Workplace for 2024-2025
Apex Group and ACA Form Strategic Partnership to Enhance Client Experience
Apex Group and ACA form strategic partnership to enhance client experience. The alliance enables clients to seamlessly identify a reputable service provider that will help support and protect their business.