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Given the current regulatory landscape, it is important to remain informed about key developments that may affect your organisation. I am delighted to share our latest Compliance Communiqué to apprise you of the latest regulatory changes and updates so your institution will have the necessary policies, procedures and processes in place to ensure compliance.
Jehan Jeyaretnam, Head of Compliance Services
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Blog: The FCA’s Crackdown on Misleading Promotions
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Blog: The SEC’s 2023 Examination Priorities – Spotlight Back on Retail, ESG, RIAs, Fintech and Crypto
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The Financial Conduct Authority (FCA) expects all financial promotions to be fair, transparent and balanced and not mislead people. With this new rule, the FCA has updated its approach to identifying and reviewing poor-quality advertisements in a timely manner.
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The Securities and Exchange Commission (SEC) announced its 2023 examination priorities, primarily focusing on safeguarding investors’ interest and the integrity of capital markets.
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Impact Story: Investment Compliance Support for Global Asset Manager |
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Impact Story: Process Adherence Support Through OFAC Checks for US-Based Global Investment Manager |
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Know how Acuity Knowledge Partners helped a global asset manager perform biennial reviews of all investment restrictions across its accounts.
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Know how Acuity Knowledge Partners helped a US-based asset manager meet its know-your-customer remediation project deadline.
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Solution showcase
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| Corporate Compliance |
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Customer Due Diligence
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Our Corporate compliance services cover a wide range of managed services including e-communication review, marketing material and advertisement reviews, regulatory compliance review, distribution compliance, code of ethics monitoring and social media surveillance.
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Acuity Knowledge Partners leverages its deep domain expertise and industry-leading capabilities to provide integrated know-your-customer life-cycle management services that enable organisations to stay ahead of the regulatory curve.
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Regulatory updates
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Targeting Key Sectors, Evasion Efforts and Military Supplies, Treasury Expands and Intensifies Offensive Against Russia (Read more)
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The FCA to Distribute Funds to Consumers Following Action Against Unlawful CFD Forex Trading Business (Read more)
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The SEC Proposes Updates to Ethic Rules Governing Securities Trading by Personnel (Read more)
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The SEC Adopts Rule Changes to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions in Securities from Two Business Days After the Trade Date (T+2) to One (T+1) (Read more)
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ABOUT ACUITY KNOWLEDGE PARTNERS
Acuity Knowledge Partners is a leading research, analytics, and business intelligence consultant to the financial services sector. The company’s network of analysts and industry experts, combined with advanced data and technology, supports over 520 financial institutions and consulting companies worldwide to operate more efficiently, and unlock their human capital, driving revenue higher and transforming operations. It specialises in investment banking, investment research, private equity and consulting, and commercial lending. Acuity is headquartered in London and operates from nine locations worldwide. In 2019, the company was established as a separate business from Moody’s Corporation through its acquisition by Equistone Partners.
For more information, please visit https://www.acuitykp.com/about-us/
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| | US: +1 929 618 0217 | UK: +020 7550 4499 | contact@acuitykp.com | |
| | ©2023 Acuity Knowledge Partners. All rights reserved. | |
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