Industry Insights

Cherry Picking Season Never Ends: Why Allocation Analysis Must Evolve

Leave a Comment / Article / By

When Regulators Look at Outcomes, Allocation Surveillance Has to Change For many compliance teams, allocation review has become a daily, frustrating exercise. Hours are spent working through allocation exception reports, only to conclude that most alerts do not represent genuine risk. The signal is weak, the noise is relentless, and the behaviors that regulators are […]

Cherry Picking Season Never Ends: Why Allocation Analysis Must Evolve Read More »

U.S. Government Orders Suspension of Claude Fable 5 and Mythos 5

Leave a Comment / Cyber Alert / By

On June 12, 2026, in a significant development for AI governance and cybersecurity, the U.S. government has directed Anthropic to suspend access to its most advanced AI models, Claude Fable 5 and Claude Mythos 5, citing national security concerns. The directive reportedly restricts access by foreign nationals, including those within the U.S. and even Anthropic’s

U.S. Government Orders Suspension of Claude Fable 5 and Mythos 5 Read More »

The Evolving Wealth Management Landscape and the Rise of Outsourced Services

Leave a Comment / Article / By

Growth in the Wealth Management Industry Over the past decade, the wealth management industry has undergone strong and sustained expansion, driven by rising global wealth, favorable market performance, and increased investor engagement. Global financial wealth reached $305 trillion in 20241, growing more than 8% in that year alone, supported by robust equity markets and broadly

The Evolving Wealth Management Landscape and the Rise of Outsourced Services Read More »

The Three Lines in MiFIR Regulatory Reporting

Leave a Comment / Article / By

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

The Three Lines in MiFIR Regulatory Reporting Read More »

Why FCA Authorisation Matters More Than You Think

Leave a Comment / Article / By

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

Why FCA Authorisation Matters More Than You Think Read More »

When a Vendor Failed, ACA Delivered

Leave a Comment / Case Study / By

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

When a Vendor Failed, ACA Delivered Read More »

How the FCA RegData Request Could Shape Consultation

Leave a Comment / Article / By

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

How the FCA RegData Request Could Shape Consultation Read More »

Annual GIPS Compliance Notification Deadline is June 30, 2026

Leave a Comment / Compliance Alert / By

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

Annual GIPS Compliance Notification Deadline is June 30, 2026 Read More »

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

Leave a Comment / Article / By

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,

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

Document Request List and Exam Readiness Considerations

Leave a Comment / Article / By

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

Document Request List and Exam Readiness Considerations Read More »

Contact
Contact