Newsletter | Volume 1

Issue I
Issue II
Issue III
Issue IV
Issue V
Issue VI
Issue VII
Issue VIII
Issue IX
Issue X
Issue XI
Issue XII
Issue XIII
Issue XIV
Issue XV
Issue XVI
Issue XVII
Issue XIX
Issue XX
Issue XXI
Issue XXII
Issue XXIV
Issue XXV
Issue XXVI
Issue XXIX
Issue XXX
Issue XXXI

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  • Is MiFID II another regulatory compliance scheme to flush capital down the toilet?
    Prips, is due at the end of 2016, the Market Abuse Directive and regulation is round the corner, the date for Anti-Money Laundering Directive is June 2017 to be compliant, Senior Managers’ Regime in 2018, so is Data Privacy and Security (GDPR) and the outcome of the Financial Advice Market Review is entirely unknown. So much to do and so little time to do it properly.
  • The Regulatory Actions of Anti-Money laundering (AML) Spreads its Compliance Wings. Part I of III
    AML compliance has traditionally been concentrated for the financial and banking industry. However regulators are now expected a widening the selection from financial institutions to Advisors, Brokers and Dealers in order to strengthen their controls against money laundering.
  • Market Abuse Regulation is effective from July 2016.
    One of the most important provisions for ensuring effective securities markets is the mandated, continuous disclosure of non-public material information (insider information). Yet this disclosure obligation is also onerous for issuers, involving high compliance costs and subjecting them to public scrutiny that private companies avoid.
  • The Overloaded plate of the Audit Committee
    Once upon a time the audit committee’ primary responsibility was for financial reporting and the role as owner of the external audit firm relationship. Now Audit committees are facing an expansion of their duties and feeling the pressure from regulators, investors and stakeholders. Menu items on the new regulatory responsibilities include; risk oversight, performance on IT, cyber-security, bribery and corruption issues, 3rd party compliance, financial risks, problems with financial statements, as well as addressing business complexity demands are placing a heavy burden on audit committees.
  • Addressing-investor-activism-and-dissatisfaction-on-demand
    Stakeholder and Investor dissatisfaction resulting in shareholder activism are due to a greater demand for transparency, accountability and oversight over the companies’ corporate governance and performance process.
  • The RegComTech® Regulatory Automation and Integration Approach
    The RegComTech® business application agenda is to customise the technology developments. RegComTech® addresses the duplication, integration, automation and streamlining issues, desired to address the mainstream next generation regulatory compliance components of Governance, Risk Intelligence, Compliance and IT-Security.
  • How will the new EU data protection requirements (GDPR) will affect your organisation.
    The EU General Data Protection Regulation (GDPR) is new legislation that provides a single, harmonised data privacy law for the European Union. With the increasing risk of data breaches from cyber-attack, the GDPR aims to prevent the loss of personal data by improving data security for all individuals living in EU member states.