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OCC's Semiannual Risk Perspective: What Bank Asset Managers Should Know

The Office of the Comptroller of the Currency (“OCC”) recently issued its Spring 2019 Semiannual Risk Perspective, a recurring report of key risk areas and emerging threats to the federal banking system that are monitored by the OCC's National Risk Committee. In this blog post, we summarize the risk areas that impact banking asset management groups, and operational risk, strategic risk, and BSA/AML.

Compliance Alert
  • Bank Asset Management
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Regulatory Cyber Alert: SEC’s OCIE Issues Risk Alert on Data Storage Security

On May 23, the U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert regarding the security associated with cloud and network data storage solutions.

Compliance Alert
  • Cybersecurity
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White Paper: 2019 Liquidity Risk Management Program Rule Survey Results

ACA Compliance Group is pleased to present their newest survey results in the form of a white paper, 2019 Liquidity Risk Management Program Rule Survey Results.

Report
  • Compliance
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Mirabella’s Response to the FCA’s review of principal firms in the investment sector

The FCA recently published the conclusions of its review of principal firms in the investment management sector. We examine the relevance of the findings and outline how the FCA rated Mirabella in the review.

Compliance Alert
  • Compliance
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Regulatory Cyber Alert: SEC Conducting Cyber Compliance Examination Sweep of Registered Investment Advisers (RIAs)

The U.S. Securities and Exchange Commission (SEC) has commenced a series of cybersecurity examinations on registered investment advisers (RIAs) which targets Form ADV data related to cloud service providers.

Compliance Alert
  • Cybersecurity
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FINRA Provides Guidance Regarding Suspicious Activity Monitoring and Reporting Obligations

FINRA recently issued Regulation Notice 19-18 (the “Notice”), which provided guidance to member firms regarding their monitoring obligations with respect to suspicious activity pursuant to the Bank Secrecy Act (“BSA”) and anti-money laundering (“AML”) requirements.

Compliance Alert
  • Compliance
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How to Remove the Pain from Vendor Due Diligence

Third-party risk management can be painful, time-consuming, and expensive. Get the pain-free solution to effective vendor due diligence in our latest blog post.

Article
  • Cybersecurity
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Q&A: The New Prudential Regime - What Does This Mean for You?

The Investment Firm Regulation (IFR), a new prudential framework developed by the European Commission (EC), will soon apply to all MiFID investment firms. The vast majority of investment firms will need to adapt to a new set of capital, liquidity, and reporting requirements. Whether or not you believe these rules are simpler and more proportionate to investment firms, you need to be prepared.

Article
  • Compliance
  • FCA
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Cyber Alert: New Intel Chip Security Vulnerability

On May 14, Intel announced a series of security vulnerabilities in its central processing unit (CPU) chips. The vulnerabilities are collectively labeled Microarchitectural Data Sampling (MDS).

Cyber Alert
  • Cybersecurity
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Cyber Alert: Surveillance Attack Discovered in WhatsApp; User Upgrade Strongly Recommended

On May 13, Facebook announced a vulnerability in its popular WhatsApp messaging service. The vulnerability allows attackers to install spyware on smartphones by simply placing a voice call to WhatsApp on the device.

Cyber Alert
  • Cybersecurity