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Key Takeaways from 1LoD’s Voice Surveillance Deep Dive Report 2021

With more employees working out of their homes, how can financial services firms best balance the demands of regulators with legal concerns like privacy and employment laws, all while building a culture of trust among employees? This was the topic of discussion at 1LoD’s 2021 Deep Dive forum on voice surveillance.

Report
  • RegTech
  • eComms Surveillance
  • Trade Surveillance
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The Changing Compliance Landscape for Venture Capital & Other Private Markets Fund Managers

Although many venture capital firms in the U.S. today are exempt reporting advisers (ERAs), scrutiny of these firms has increased.

Article
  • Compliance
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2021: The Year in Review

As you look ahead to 2022, here are a few of 2021’s key regulatory and industry highlights that may impact how you prioritize year-end compliance tasks, allocate resources, and plan future initiatives.

Compliance Alert
  • Compliance
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The UK National Security and Investment Act 2021 – sneaking into force early 2022

The UK National Security and Investment Act of 2021 (NSI) comes into force on 4 January 2022. It allows the UK Government to scrutinise and block any acquisition they feel may harm national security. Learn how this impacts your firms future acquisition plans:

Compliance Alert
  • Compliance
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Log4Shell Vulnerability: What We Know and Action Steps to Take

Following our Cyber Alert last week, “Java Log4Shell Zero-Day Vulnerability Discovered; Immediate Patching Advised for Millions of Users", on December 10th a critical vulnerability was publicly disclosed in the Apache Log4j Java-based logging package, which is commonly used by organizations across the world.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
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Flaws Discovered in Original Update to Fix Log4j Vulnerability; Users Must Update to Newest Version of Apache Log4j 2.16.0

On December 10th a critical vulnerability was publicly disclosed in the Apache Log4j Java-based logging package, which is commonly used by organizations across the world. When first disclosed late last week, Apache had already released an updated version of Log4j version 2.15.0 to remedy the security flaw.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
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Key Regulatory Timelines for 2022

To help firms prepare for the new year, we’ve created a simple visual timeline of key financial services regulatory milestones for you to download, keep, and reference throughout 2022.

Article
  • Compliance
  • ESG
  • Brexit
  • SEC
  • Managed Services
  • Trade & Transaction
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Best Practices for Managing the Latest Trends and Challenges Related to Market Abuse Surveillance

ACA Group’s Eddie Cogan, recently joined A-Team Insight’s Sarah Underwood for a fireside chat where they discussed the latest trends and challenges related to market surveillance, the best practices for addressing these challenges, where firms should start, and how technology can help.

Article
  • RegTech
  • eComms Surveillance
  • Trade Surveillance
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Java Log4Shell Zero-Day Vulnerability Discovered; Immediate Patching Advised for Millions of Users

On December 10th a critical vulnerability was disclosed in the open-source Apache software used to run websites and other web services across industries. The vulnerability affects a Java logging package known as log4j, which is commonly used by organizations across the world.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
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Review and Enhance Your Holistic Surveillance Program: A Year-End Checklist

As you approach year-end and budget season, it’s a good time to review your surveillance program and determine what enhancements may be needed.

Article
  • RegTech
  • Trade Surveillance
  • eComms Surveillance
  • Personal Account Dealing