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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 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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The importance of continuous ongoing compliance monitoring
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The power of human insight in sanction screening going beyond algorithms
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The blog highlights how compliance monitoring ensures alignment with regulatory, contractual, client, and risk-related investment restrictions and the impact of non-compliance, including potential legal actions, financial repercussions etc.
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The blog discusses the importance of Importance of human analysts in sanctions screening and how Acuity Knowledge Partners merges technological tools with human expertise for compliance and business alignment.
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Impact Story: Material review support to a British global asset management group
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Impact Story: Investment compliance support for a global asset manager
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Know more how Acuity helped a British global asset manager in reviewing 4x more marketing materials
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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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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 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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Regulators check securities clearing houses in biggest ever global 'fire drill' (Read more)
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N.Y. law to pose hurdle for RIA’s off-channel comms supervision efforts (Read more)
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FCA takes aim at wealth managers over high-risk and high-fee products (Read more)
- • ASIC consults on remaking class order on Exchange Traded Funds (ETFs) (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 3002 4980 | contact@acuitykp.com
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©2023 Acuity Knowledge Partners. All rights reserved.
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