Compliance Corner

Welcome to the Compliance corner section. We have organised compliance and regulator specific content here. You can filter the content based on Jurisdiction and keywords.

Detailed content can be viewed by clicking on the topic dropdown.

Topics

Operational Resilience in the US: best practices

Corporate Criminal Liability: is change on the horizon?

AML Compliance Manual: create an effective strategy against money laundering

What are Securities Financing Transactions (SFTs)? 

What is the Markets in Crypto Assets Regulation (MiCA)?

What is the Taskforce on Nature-related Financial Disclosures?

What is Buy Now Pay Later- and is it regulated?

What are the FCA rules on communication (COBS 4)?

What are Suspicious Transaction and Order Reports?

What is Brazil’s Lei Geral de Proteção de Dados Pessoais?

Why do financial regulations change?

Operational resilience: what is SS1/21 and how can firms comply?

What is the Foreign Corrupt Practices Act?

What is the US Cybersecurity and Infrastructure Security Agency (CISA)?

What is Regulation S-K?

What is the Network Information Systems Directive (NIS)?

Regulatory compliance in the UK

What is the Digital Operational Resilience Act?

Emerging regulations for ESG disclosure

Strong Customer Authentication (SCA): what is it?

Cybersecurity regulations: an overview

5AMLD: what does it mean for financial institutions?

Senior Managers and Certification Regime (SMCR): an overview

What is AMLD6? Defining, deterring and detecting illicit finance

Future Regulatory Framework Review: an overview

The Investment Firms Prudential Regime (IFPR): an overview

Ontology: how does it work for regulatory compliance?

Regulatory intelligence: what does it mean?

Horizon scanning for compliance

LIBOR: an overview

Know Your Customer (KYC): an overview

CCPA compliance (California Consumer Privacy Act): an overview

What is regulatory change management?

Basel III: an overview

US Anti Money Laundering Act 2020 (AMLA): an overview

FINRA Rule 4511: an overview

The European Market Infrastructure Regulation: an overview

The Colorado Privacy Act (CPA): an overview

Glossary of terms and acronyms
AcronymMeaning
5AMLD5th Anti Money Laundering Directive
6AMLD6th Anti Money Laundering Directive
AIArtificial Intelligence
AMLAnti Money Laundering
APIApplication Program Interface
BOEBank of England
CCPACalifornia Consumer Privacy Act
CFTCCommodities Futures Trading Commission
DOJUS Department of Justice
EBAEuropean Banking Authority
ESGEnvironmental, social and corporate governance
ESMAEuropean Banking Authority
FCAFinancial Conduct Authority
FINRAFinancial Industry Regulatory Authority
FinTechFinancial Technology
FINTRACFinancial Transactions and Reports Analysis Centre of Canada
FRFFuture Regulatory Framework Review
AcronymMeaning
GDPRGeneral Data Protection Regulation
HMRCHer Majesty's Revenue and Customs
ICOInformation Commissioner's Office
KYCKnow Your Customer
MARMarket Abuse Regulation
MASMonetary Authority of Singapore
MiFID IIMarkets in Financial Instruments Directive II
MLMachine learning
MLROMoney Laundering Reporting Officer
NLPNatural language processing
OCCOffice of the Comptroller of the Currency
OCIEOffice of Compliance Inspections and Examinations
OSFIOffice of the Superintendent of Financial Institutions
PRUPrudential Regulation Authority
RegTechRegulatory Technology
SaaSSoftware as a Service
SECUS Securities and Exchange Commission
SMCRSenior Managers and Certification Regime