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“Given the current regulatory landscape, it is important to be informed of key developments that may affect your organisation. I am delighted to share our latest Compliance Communiqué to apprise you of the recent 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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Top and trending:
Hand-picked content carefully curated for you
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FCA business plan 23/24 – summary and focus areas
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Solving the puzzle of Enhanced Due Diligence in KYC
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The Financial Conduct Authority (FCA) published its business plan 23/24, which revolves around its 2022-2025 strategy, aiming to safeguard consumers, promote market integrity and prioritise consumers’ interests.
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EDD is a crucial aspect of KYC that requires additional scrutiny and investigation of high-risk customers. Compliance service providers play a vital role in helping financial institutions conduct EDD and meet regulatory requirements.
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Impact Story: Material review support to a British global asset management group
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Impact Story: Post-trade monitoring support for a global asset manager
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Read about how Acuity helped a British global asset manager in reviewing four times more marketing materials.
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Know how Acuity helped a global asset manager conduct a high-quality review of breaches.
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Solution showcase
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Corporate Compliance
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Investment Compliance
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Corporate compliance services cover a wide range of managed services including e-communication reviews, marketing material and advertisement review, regulatory compliance review, distribution compliance, code of ethics monitoring and social media surveillance.
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Our investment compliance support across pre- and post-trade monitoring, guideline interpretation and coding has enabled investment compliance functions to do more with less.
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Regulatory updates
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The Securities and Exchange Commission (“SEC”) is reopening the comment period for its proposal (“Proposed Rules”) to amend the rule under the Securities Exchange Act of 1934 (“Exchange Act”) that defines certain terms used in the statutory definition of “exchange.” (Read more)
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SEC Proposes New Regulation Best Execution — Brokers Must Achieve “Most Favourable Price” for customers; heightened obligations for conflicted retail transactions (Read more)
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The Wolfsberg Group has issued updated guidelines and best practices for financial institutions (FIs) on developing, implementing and maintaining an effective anti-bribery and corruption compliance (ABC) programme (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: +44 20 7550 4499 | India: +91 80 6113 3000
Sri Lanka: +94 11 235 6000 | Beijing: +86 10 8248 6812 | HK: +852 (972) 836-39 | contact@acuitykp.com
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©2023 Acuity Knowledge Partners. All rights reserved.
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