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 Services

Blog: Regulatory scrutiny of WhatsApp use for business communications   Blog: SEC Division of Examinations – 2022 examination priorities
Blog   Blog
See how the growing number of information breaches via social media is increasing regulatory investigation of financial firms

  Understand the five significant focus areas that pose unique or emerging risks to investors or markets during the examinations

Blog: Digital operational resilience for the financial sector and amending regulations   Blog: Technology impact on trading and compliance
Blog   Blog
Know why, although DORA is still in the works, it would be a much-welcomed update that reinforces the financial sector's existing laws on digital operational resilience

  Know how the evolution of the financial sector would not only simplify the handling of compliance-related daily tasks, but also make these processes more efficient and secure

Impact story: Post-trade monitoring support to a large global asset manager   Impact story: Marketing literature review support to a hedge fund with offices in the US and the UK
Impact story   Impact story
See how Acuity helped a global asset manager set up a systematic post-trade monitoring programme compliant with investment and regulatory guidelines

  Learn how Acuity helped a hedge fund review 4x advertising material with a 35% reduction in compliance costs

  Solution showcase
Financial crimes compliance   Corporate compliance
Blog   Blog
Enabling our customers to keep ahead of the customer due diligence regulatory curve

  Improving the breadth and depth of compliance reviews by handling voluminous tasks such as email reviews, code of ethics reviews and distribution compliance

Regulatory updates
  • SEC uncovers USD194m worth of penny stock schemes that spanned three continents; 16 defendants charged in international “pump and dump” plots (Read more)
  • SEC Division of Examinations announces 2022 examination priorities (Read more)
  • SEC proposes to enhance disclosures by certain investment advisors and investment companies on ESG investment practices (Read more)
  • UK authorities look to strengthen resilience of money-market funds (Read more)
  • UK passes the Economic Crime (Transparency and Enforcement) Act to tackle economic crime and sanctions evasion (Read more)
  • Canada revises the Proceeds of Crime (Money Laundering) and Terrorist Financing Act, S.C. 2000 c 17 (Read more)

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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