Building a Gold Standard Compliance Program, Session 4: Implementation - Part 2
Join us for part four of our live webcast series about creating a best-in-class compliance program.
Prepare a robust prudential programme to meet new regulatory expectations.
The Investment Firm Prudential Regime (IFPR) came into force on 1 January 2022, directly impacting any group that owns an FCA authorised firm that provides MiFID investment services and activities - regardless of their location.
These new prudential rules introduce more complex and onerous capital, liquidity, reporting and governance requirements for affected firms - many are now facing requirements to maintain significantly greater levels of capital.
It's vital that impacted firms understand and implement the new requirements to stay on the right side of the regulator.
Polls conducted during ACA’s European Regulatory Horizon virtual conference in March 2021 found that:
said they are ready and capitalised for the IFPR.
feel compliance systems and resources, including the drafting of new procedures, are the most impactful area of the regime.
29% see increased capital requirements as having the greatest impact.
The Investment Firm Prudential Regime (IFPR) directly impacts any group that owns an FCA authorised firm that provides MiFID investment services and activities.
Time is ticking for firms to get their programmes in place. Download our checklist to find out top tips to address your obligations, ahead of the 1 January 2022 deadline.
The updates to the SEC’s Names Rule modernizes the rule, but it also has implications for funds that use ESG terms in their name and strategy.
We compiled answers to the most common questions we get asked about the SEC’s proposed rules for enhanced disclosures of ESG investment practices.
This case should give pause to firms of all sizes to evaluate what they are doing to proactively detect potential market abuse on their own.
ACA is proud to celebrate Hispanic Heritage Month from September 15 - October 15 alongside our Hispanic/Latinx Organization for Leadership and Advancement (HOLA) Employee Resource Group (ERG)!
The CFA Institute released an Exposure Draft Guidance Statement for OCIO Strategies to encourage more outsourced Chief Investment Officers to claim GIPS compliance.
By analyzing recent cases, institutions can identify regulatory trends and enhance their compliance framework to mitigate potential risks.
ACA is proud to celebrate Hispanic Heritage Month from September 15 - October 15 alongside our Hispanic/Latinx Organization for Leadership and Advancement (HOLA) Employee Resource Group (ERG)!
New partnership with LeapXpert will help financial firms surveil multiple messaging channels to meet client expectations while ensuring regulatory compliance.
The 2023 Investment Management Compliance Testing Survey results reveal marketing is still the top compliance concern. Cybersecurity and electronic communications follow closely behind.
Join us for part four of our live webcast series about creating a best-in-class compliance program.
Learn how technology can help you streamline the Best Execution review process and meet regulatory requirements.