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| Americas

The RIA compliance checklist: Meeting your regulatory obligations

Becoming a newly registered investment adviser (RIA) is an exciting milestone, but it comes with significant compliance responsibilities. A well-structured RIA compliance checklist can help ensure you meet these obligations effectively and…

| UK & Europe

Three key questions to consider before filling out a SMF 16/17 application

The Compliance Oversight (SMF16) and Money Laundering Reporting Officer (SMF17) are two key Senior Management Functions (SMF) that many FCA-regulated firms must appoint an individual to hold. Recently, the FCA…

| UK & Europe

Payments delay legislation: Balancing speed and security

The Treasury has now enacted the Payment Services (Amendment) Regulations 2024, implementing measures to improve protections against fraud. This provides payment service providers (PSPs) with the ability to delay completion…

| UK & Europe

SMCR five years on

A lot has happened since the Senior Managers and Certification Regime, otherwise known as SMCR, came into force for solo-regulated firms in December 2019. While we wait for updated guidance…

| Global

Evolution of female leadership in risk management and compliance

This article by Liz Berger was featured in the 2024 Risky Women Writing Competition, presented in partnership with Bovill Newgate. She examines the evolving role of women in Governance, Risk,…

| Global

Making a difference: How GRC enables meaningful work

This article by Tina Chugani was an honorable mention in the 2024 Risky Women Writing Competition, presented in partnership with Bovill Newgate. She explores the meaningful impact of GRC professionals, highlighting their…

| UK & Europe

Market Watch 81 places spotlight on incomplete and inaccurate transaction reporting data

In Market Watch 81 the FCA highlighted the ongoing issue of incomplete and inaccurate transaction reports. While the regulator acknowledges the continuing trend of improved data quality since 2018, there…

| Americas

US Newsletter | November 2024

NEWSLETTER: With the U.S. heading into another Trump presidency, it’s safe to say that it will remain a key market for global businesses. Understanding the way these results will change…

| UK & Europe

UK Newsletter | November 2024

NEWSLETTER: The new Labour government has officially kicked off its economic growth agenda, with Rachel Reeves making her first Mansion House speech as chancellor this month.  The speech shows that there is…

| UK & Europe

Failure to prevent fraud: Getting operationally ready

The UK Home Office has published guidance on its ‘failure to prevent fraud’ offence, aimed at enhancing corporate accountability in combating fraud. To avoid legal repercussions, firms have until the…

| Americas

Using your annual review to build a long-lasting culture of compliance

One of the most important, albeit often overlooked, factors of success is building and maintaining a strong culture of compliance across the organization. The annual review is an important milestone…

| Asia

Unpacking the new OTC derivatives regime: what you need to know

The HKMA and SFC have released a conclusion paper on 26 September 2024 regarding enhancements to the over-the-counter derivatives reporting regime. Following a consultation paper published in March 2024, the…