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Given the current regulatory landscape, it is important to be informed of key developments that may affect your organization. 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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Top and trending:
Hand-picked content carefully curated for you
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Tread carefully when monitoring employees
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KYC remediation – Addressing the challenges of today’s era
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The blog highlights the legal considerations and regulations surrounding employee monitoring, emphasizing the need for clear policies and compliance with relevant laws like the Electronic Communications Privacy Act of 1986 (ECPA).
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The blog discusses the importance of KYC remediation for financial institutions, offering strategies to address challenges such as data quality, regulatory requirements, and resource constraints.
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Impact Story: Process Adherence Support with OFAC Checks for US-Based Global Investment Manager
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Impact Story: Investment Compliance Support for a Global Asset Manager
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Know more how Acuity helped a US based asset manager to meet its KYC remediation project deadline
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Know more how Acuity helped a global asset manager to identify and report missing rules
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Solution showcase
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Customer Due Diligence
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Investment Compliance
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Our know your customer (KYC)-managed services enable organisations to stay ahead of the regulatory curve by bringing deep domain expertise and industry-led capabilities to provide integrated KYC lifecycle management.
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Our know 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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SEC Directs Equity Exchanges and FINRA to Improve Governance of Market Data Plans (Read more)
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SEC issues new Private Fund Adviser (Read more)
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Canada continues to amend sanctions legislation and designates Lebanese nationals under Magnitsky law (Read more)
- FCA launches review of treatment of Politically Exposed Persons (Read more)
- FCA sets expectations ahead of incoming crypto marketing rules (Read more)
- ASIC issues new legislative instruments for financial resource requirements and platforms (Read more)
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ABOUT ACUITY KNOWLEDGE PARTNERS
Acuity Knowledge Partners (Acuity) is a leading provider of bespoke research, analytics and technology solutions to the financial services sector, including asset managers, corporate and investment banks, private equity and venture capital firms, hedge funds and consulting firms. Its global network of over 6,000 analysts and industry experts, combined with proprietary technology, supports more than 500 financial institutions and consulting companies to operate more efficiently and unlock their human capital, driving revenue higher and transforming operations. Acuity is headquartered in London and operates from 10 locations worldwide.
Acuity was established as a separate business from Moody’s Corporation in 2019, following its acquisition by Equistone Partners Europe (Equistone). In January 2023, funds advised by global private equity firm Permira acquired a majority stake in the business from Equistone, which remains invested as a minority shareholder.
For more information, visit www.acuitykp.com
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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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