List: Compliance | Curated by Acuity Knowledge Partners

Feb 9, 2024
27 stories
Compliance
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Investment Compliance — Why needed, Trends and Best PracticesWhat is investment compliance?
Feb 2
Feb 2
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Investment Compliance Automation — the art of Doing more with LessRise of the machine: It is rightly said that, “If a service is free, then YOU are the product.” This could not be more relevant in the…
Jan 24
Jan 24
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Navigating Global Compliance challenges with Acuity Knowledge PartnersIn the fast-paced world of finance, with constantly evolving regulations and high stakes, compliance is non-negotiable. Financial firms…
Jan 10
Jan 10
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Managing Investment Compliance in a Changing Regulatory EnvironmentThe usage of complex products and strategies to generate higher alpha is likely to increase as investment managers tailor their offerings…
Nov 17, 2023
Nov 17, 2023
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The Importance of Continuous ongoing Compliance MonitoringIntroduction
Nov 7, 2023
Nov 7, 2023
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RegTech: Digital Regulatory Compliance Taking Center StageThe great financial crisis of 2007–08 exposed the vulnerabilities of the financial services (FS) industry, highlighting the weak risk…
Nov 2, 2023
Nov 2, 2023
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Marketing Compliance — Look out before you roll outMarketers focus on creating marketing materials, such as online content or a brochure, demonstrating the benefits of their…
Oct 27, 2023
Oct 27, 2023
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Navigating Regulatory Compliance Amid the US-China Trade WarThe increasing need for compliance in China has been reinforced by the tougher global regulation environment over the past decade…
Oct 26, 2023
Oct 26, 2023
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Social Media and ComplianceSocial media compliance — our top 3 risk considerations when posting on social media are:
Oct 20, 2023
Oct 20, 2023
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Investment Compliance and Best PracticesIn today’s rapidly changing, competitive landscape, ensuring compliance with laws and regulatory changes can be a complex task for any…
Oct 20, 2023
Oct 20, 2023
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Disadvantages of not having a Marketing/Distribution Compliance TeamThis blog discusses how an asset management firm without a Marketing/Distribution Compliance Team may be exposed to regulatory risks and…
Oct 20, 2023
Oct 20, 2023
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Correlation between Integrity and a Firm’s Compliance StructureIn retort to financial crisis of last two decades global regulatory bodies are intent on supervising firms more robustly, while driving a…
Oct 20, 2023
Oct 20, 2023
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Advantages of having a Distribution Compliance Team in an Asset Management FirmA Compliance officer ensures that an organisation is complying with government rules and regulations on a domestic and global level…
Oct 19, 2023
Oct 19, 2023
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Corporate Compliance: Components and Best PracticesCorporate compliance reduces the risk associated with regulatory investigations. Before we consider how it does so, let’s first understand…
Oct 12, 2023
Oct 12, 2023
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Compliance Best Practices For Working from HomeUncertain times call for unusual measures. As we have seen in the past few weeks, with the fast-developing situations around a global…
Oct 11, 2023
Oct 11, 2023
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A guide to Maintaining Compliance Protocols when TelecommutingTo preserve its reputation and uphold the highest standards of service, a firm’s employees need to maintain integrity. C S Lewis defined…
Oct 11, 2023
Oct 11, 2023
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Impact of the Global Lockdown — A Perspective on Investment Management and ComplianceThe world is in shock and still figuring out a way to deal with the current health and economically disastrous situation. The “best”…
Oct 6, 2023
Oct 6, 2023
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Future-proofing Compliance Professionals“If there’s one thing that is certain in business it is uncertainty”
Oct 6, 2023
Oct 6, 2023
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The Cost of Ignoring Compliance“If you think compliance is expensive, try non-compliance” — Paul McNulty, former US deputy AG
Oct 6, 2023
Oct 6, 2023
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Instrument Data Infrastructure — Its Importance in an Effective Investment Compliance EnvironmentA robust and comprehensive database is a basic requirement for a financial firm’s system infrastructure to be able to produce accurate…
Sep 26, 2023
Sep 26, 2023