PEI Private Fund Compliance Regulatory Forum
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!
Regulators continue to increase their focus on a firm’s capital monitoring and forecasting, and regulatory reporting processes. In turn, investment management and advisory organisations continue to seek expertise in regulatory oversight.
In addition, the Investment Firm Prudential Regime (IFPR) came into force for all UK MiFID investment firms on 1 January 2022. First developed by the European Union (EU) and subsequently refined by the FCA, the proposed new prudential rules introduce more complex and onerous capital, liquidity, reporting and governance requirements for affected firms.
ACA's experienced prudential team are on hand with a wide range of solutions designed to help make your regulatory reporting obligations as simplified and seamless as possible.
The Investment Firm Prudential Regime (IFPR) directly impacts any group that owns an FCA authorised firm that provides MiFID investment services and activities -
Download our checklist to find out top tips to make sure you have addressed your obligations.
The new prudential framework has been developed by the European Commission (EC) and will soon come into force for MiFID investment firms. For some, this will be the first time any onerous capital, liquidity and reporting regime has applied to them. The ‘prudential holiday’ that many commodity trading firms have enjoyed will soon be coming to an end.
Julia Hoggett, FCA's Director of Market Oversight, speech on the implementation of the Market Abuse Regulation in the UK.
With the publication of recent Market Watches in quick succession, the FCA appear to be increasing its focus on this topic in an attempt to improve standards and ensure that the UK has a clean, orderly and transparent market in which participants can trust.
Recent activity points to the FCA rapidly increasing its focus on market abuse risk, trade surveillance and controls. This activity possibly pre-empts upcoming thematic work or supervision and enforcement work in this area.
Commodity trading firms ─ currently outside the scope from the regulatory prudenti
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.
As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!