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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 would have the necessary policies, procedures and processes in place to ensure compliance.
Jehan Jeyaretnam – Head of Compliance Operations
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Managing investment compliance in the new normal |
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| Impact of a volatile market on post-trade monitoring |
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Compliance rule deficiencies and weaknesses identified by the OCIE |
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Read here for a detailed account of post-trade monitoring amid pandemic-induced fear and how Acuity can help businesses in pre- and post-trade monitoring.
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In this era of digitalisation, compliance is too costly to miss. Read here to understand the compliance rule deficiencies and weaknesses identified by the Office of Compliance Inspections and Examinations (OCIE).
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| Europe’s response to the COVID-19 pandemic |
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Investment compliance: Not “just controls” but effective portfolio management |
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Europe’s economy is one of the world’s largest in terms of industrial production. A negative impact on it would, therefore, hurt global markets. This blog focuses on the pain the COVID-19 pandemic has inflicted on it and the mitigation measures adopted by the European Central Bank (ECB).
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This blog highlights the importance of investment compliance and how a firm can manage risks. It also shows how Acuity’s established compliance capabilities help clients identify problems and opportunities to navigate through a challenging business environment.
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Videos
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| Working from home? What this means for compliance
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Impact of the pandemic on banking and IT from a compliance standpoint
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Spotlight on the biggest compliance challenges of being remote amid the pandemic
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Regulatory update
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| US federal authorities |
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The European Securities and Markets Authority (ESMA)
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Under the law, NPOs must report specific information annually on IRS Form 990, including data on their finances, donors and cross-border payments.
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In this era of digitalisation, compliance is too costly to miss. Read here to understand the compliance rule deficiencies and weaknesses identified by the Office of Compliance Inspections and Examinations (OCIE).
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Enforcement action
US Securities and Exchange Commission (SEC)
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SEC charges investment advisory firms and broker-dealers in connection with sales of complex exchange-traded products. Read more
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SEC charges former finance department employee with insider trading. Read more
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SEC charges former CFO of now-bankrupt company with insider trading. Read more
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SEC obtains final judgment against investment adviser who defrauded fund clients. Read more
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SEC charges financial firm with misleading customers about revenue sources and failing to satisfy duty of best execution. Read more
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ABOUT ACUITY KNOWLEDGE PARTNERS
Acuity Knowledge Partners (Acuity), formerly part of Moody’s Corporation, is a leading provider of bespoke research, analytics, staffing and technology solutions to the financial services sector.
Headquartered in London, Acuity Knowledge Partners has nearly two decades of transformation experience in servicing over 300+ clients with over 3,000 employees, including a specialist workforce of 2,500+ analysts and delivery experts across its global delivery network. We provide our clients with unique assistance not only to innovate, implement transformation programmes and increase operational efficiency, but also to manage costs and improve their top lines. These services are supported by our proprietary suite of Business Excellence and Automation Tools (BEAT) that offer domain-specific contextual technology. Acuity Knowledge Partners is backed by Equistone Partners Europe, a leading private equity organisation that backs specialist growth businesses and management teams.
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| | | | | | US: +1.212.553.7778 +1.212.553.8916 | UK: +44 207 550 4499 | contact@acuitykp.com | |
| | | | | | | | | | ©2020 Acuity Knowledge Partners. All rights reserved. | |
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