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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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| Whitepaper: Evolution of Fintech and RegTech :Trends in 2022 and future aspects |
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In the news: "Compliance Teams Struggle with Increase in Marketing, New Content Formats" |
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Know-how, increased demand for financial services, high customer expectations and reducing costs while providing faster, safer and more reliable services underpin the rise and growth of fintechs.
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Jehan Jeyaretnam (Head of Compliance Services) and Tanya Raj (Assistant Director, Forensic Compliance) are featured on FundFire in a story on how asset managers are increasingly tapping into new technology, specialised roles and outsourcing as compliance teams struggle with volumes in marketing and new content formats.
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| Impact story: Investment compliance support to a global asset manager |
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Impact story: Advertising material review support to a British global asset management group |
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See how Acuity helped a global asset manager conduct biennial reviews of investment restrictions across its accounts.
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See how Acuity helped a British asset manager review 4x its advertising material with a 50% reduction in compliance costs.
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Solution showcase
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| Investment compliance |
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Corporate compliance
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Ensuring rule coding is consistent, accurate and efficient, complies with agreed coding standards and is in line with investment guidelines.
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Improving the breadth and depth of compliance reviews by handling voluminous tasks such as email reviews, code of ethics reviews and distribution compliance.
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Regulatory updates
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The SEC proposed rules to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date to one business day after the trade date. This is designed to protect investors, reduce risk and increase operational efficiency (Read more)
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The SEC is proposing new rules under the Investment Advisers Act of 1940 and the Investment Company Act of 1940 to require registered investment advisers and investment companies to adopt and implement written cybersecurity policies and procedures reasonably designed to address cybersecurity risks (Read more)
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The US Treasury announces unprecedented and expansive sanctions against Russia, imposing swift and severe economic costs (Read more)
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The UK announces a tranche of sanctions on Russia after the prime minister’s statement to the House of Commons on 22 February 2022 (Read more)
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The Financial Conduct Authority published a consultation paper on strengthening its financial promotion rules relating to high-risk investments and firms approving financial promotions (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 experience in servicing over 400 clients by deploying its 4,000+ specialist workforce of analysts and delivery experts across its global delivery network. We provide our clients with unique assistance to innovate, implement transformation programmes, increase operational efficiency, and 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 | |
| | | | | | | | | | ©2022 Acuity Knowledge Partners. All rights reserved. | |
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