Industry Insights

The Three Lines in MiFIR Regulatory Reporting

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As transaction reporting remains central to market abuse surveillance, firms must take ownership of evaluating the adequacy of their first, second, and third lines of defence, ensuring they are clearly separated, genuinely independent, and effective in practice. Where Regulatory Reliance Exposes Control Tension MiFIR transaction reporting has always served a clear and fundamental purpose: to […]

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Why FCA Authorisation Matters More Than You Think

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For many investment managers, FCA authorisation is seen as a regulatory hurdle, but in practice, it’s a strategic milestone that can unlock credibility, expand market access, and position your firm for long-term growth. Whether you’re launching a new entity, separating from an existing platform, or transitioning away from a direct secondment or an Appointed Representative

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When a Vendor Failed, ACA Delivered

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Client Profile: A multi-jurisdictional investment management and insurance firmIndustry: Investment Management and Insurance After a failed vendor implementation left them exposed, this firm needed a partner who could rebuild confidence and modernize compliance at scale. broker account connections established 0 hours of internal compliance effort saved 0 + Burdened by manual workflows, disconnected systems, and

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How the FCA RegData Request Could Shape Consultation

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The FCA’s latest RegData information request on client categorisation and certified investors puts firms’ categorisation frameworks under direct scrutiny. RegData is the FCA’s regulatory reporting platform used to collect structured data from firms for supervisory oversight. The FCA introduced the Client Categorisation and Certified Investor Information Request for some firms on 20 April 2026 with

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Annual GIPS Compliance Notification Deadline is June 30, 2026

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Organizations that claim compliance with the Global Investment Performance Standards (GIPS®) are required to notify the CFA Institute using the GIPS Compliance Notification Form  by  June 30, 2026, and include data as of December 31, 2025. Note that the form can be submitted at any time between now and June 30 and is not dependent on completion

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What the FSRA’s Cyber Risk Survey Reveals About Financial Sector Readiness in 2026

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In January 2026, the Financial and Cybercrime Prevention department (FCCP) of the FSRA published the findings of its Cyber Risk Management Survey. The survey was conducted in Q3 2025 and sent to 315 FSRA-regulated firms. It achieved an 83% response rate, with 263 firms providing insight into the current state of governance structures, technical controls,

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Document Request List and Exam Readiness Considerations

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With the June 3, 2026, compliance date for smaller entities approaching, firms are increasingly focused on whether their programs align with the requirements introduced under the 2024 amendments to Regulation S-P. Many firms are evaluating whether they can demonstrate how customer information is safeguarded, how incidents are handled, and how third-party relationships are governed. While

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DIFC’s Global Rise Reflects Pragmatic DFSA Oversight

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The DIFC recently climbed to seventh place in the Global Financial Centers Index (“GFCI”), which assesses 137 financial centres globally. This represents the highest ranking ever achieved by a financial centre in the Middle East, Africa, and South Asia region. Shortly after that, the DFSA introduced a package of temporary regulatory relief measures for firms

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Enabling Advisers to Navigate Change and Build Client Trust Through Transparent Reporting

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Private credit is entering a pivotal era, one defined by expanding access, greater scrutiny, and higher expectations from both regulators and investors. For alternative investment firms, this evolution brings new opportunities to differentiate, address challenges like guiding clients through a complex fast-moving landscape, and strengthen trust and transparency. Current Private Credit Environment The “retailization” of

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FCA Finalises UK Short Selling Rule Changes

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The FCA has finalised changes to UK short-selling rules. Most changes take effect on 13 July 2026, with bulk reporting taking effect in the second phase on 30 November 2026. Many parts of the current regime will feel familiar. The reporting thresholds remain the same, and covering requirements continue to apply to in-scope shares. But

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