Compliance Newsletter
  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 Operations

BLOG: Democratisation of alternative assets using tokenisation   BLOG: A summary of the FCA business plan and annual report
Blog   Blog
What comes to your mind when you hear the term “alternative assets”? Rich investors, high returns, a risky business and less liquidity? They do involve all these but are not limited to these factors. Read here to know more about the process of tokenisation and how it helps democratise alternative assets.

  The UK Financial Conduct Authority (FCA) recently published its business plan for 2021/22 and annual report for 2020/21. In this blog, we summarise the key focus points.

  In the news
Corporate Compliance Insights (CCI): Biden’s inauguration heralds a new era in financial regulation   COMPLIANCE WEEK: Done right, outsourcing compliance can be rewarding
Blog   Blog
Podcast: Knowledge Process Outsourcing with Jehan Jeyaretnam   Kyckr: The future of KYC compliance
Blog   Blog
  Solution showcase
Investment Compliance   Corporate Compliance
Blog   Blog
Leveraging technology and domain expertise to enhance the capabilities of the trade surveillance and investment compliance functions and enable teams to manage reputational and financial risks

  Our 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.

Regulatory update
  • The European Banking Authority (EBA) published final revised guidelines on money laundering and terrorist financing (ML/TF) risk factors. The revisions take into account changes to the EU AML/CFT legal framework and address new ML/TF risks. The guidelines are addressed to both financial institutions and supervisory authorities. Read more.
  • The Financial Action Task Force (FATF) has published its final guidance on applying a risk-based approach to AML/CFT supervision. These guidelines aim to help local supervisors address the full spectrum of risks and encourage them to move beyond a tick-box approach in monitoring the private sector’s efforts to curb money laundering and terrorist financing. Read more.
  • The FCA’s Business Plan 2021/22 explains how it sees its future role and priorities, how it intends to deliver them and how it will measure its performance. Read more.
  • The FCA has published a letter to the chairs of authorised fund managers, setting out its expectations on the design, delivery and disclosure of environmental, social and governance (ESG) and sustainable investment funds. Read more.

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