Blog

Are you taking too much risk from onboarding clients or investors?

7th August 2019 - Blog Posts

Onboarding clients and investors can carry a great deal of risk in the current climate when compliance procedures are so stringent. How could Lawson Conner’s MaxComply software support your business with the onboarding process? AML and KYC The biggest risk factors centre around Anti-Money Laundering and Know Your Customer. AML regulations have been big news … Read more

Has consultation clarified the premarketing rule?

1st August 2019 - Blog Posts

Premarketing of an AIFM has been a subject of contention for some time. The lack of clarity is partly caused by the varying rules that apply to premarketing across different jurisdictions. Up to now there has been no uniform approach to the subject across the EU, and different types of pre-marketing have triggered regulatory reporting … Read more

What are the biggest compliance challenges for Hedge Fund managers?

28th June 2019 - Blog Posts

Since the financial crisis, there has been more and more regulatory pressure for hedge fund managers as AIFMD, MiFID II, SMCR, the Dodd Frank Act and ever-tighter anti-money laundering regulations have come into play. All these regulatory changes require stronger reporting requirements and greater transparency, which is difficult to achieve without regulatory hedge fund software … Read more

The FCA’s key priorities and what they mean for regulatory due diligence

26th June 2019 - Blog Posts

Regulatory due diligence is in the spotlight as the FCA has announced its business plan and key priorities for 2019/20. The FCA’s key priorities The regulator’s key priority is navigating the UK’s financial sector’s relationship with the EU post-Brexit. The FCA stated that “while it continued to face the considerable burden of extracting Britain’s financial … Read more

How is compliance outsourcing supporting the Real Estate Fund industry?

3rd June 2019 - Blog Posts

The real estate fund industry has been subject to a host of new regulations in recent years, and as for most asset classes, regulatory demands look set to become more complex in the case of a hard Brexit. What is the effect of compliance outsourcing on the industry? Recent research from publications PERE and RBC … Read more

AML and KYC: Implementing Best Practice in Financial Institutions and Law Firms

22nd May 2019 - Blog Posts

Operating in a global economy, financial institutions and law firms are under increased scrutiny by regulators. A heightened regulatory landscape has created extra burdens – and subsequently excessive costs – for compliance teams around the world.  In a bid to reduce risk, regulators have increased demands in order to satisfy their reporting frameworks. This article … Read more

Discover how PE is being transformed by new technology

14th May 2019 - Blog Posts

Private Equity (PE), once a distinctively traditional industry, is changing. Innovation is alive and kicking within the PE arena in ways perhaps you may not be even aware of. New technologies such as Artificial Intelligence (AI) and Blockchain are bringing new opportunities, productiveness and solutions which is driving PE Compliance to new levels. These innovations … Read more

PDS2 Compliance – are you ready and what you need to know?

1st May 2019 - Blog Posts

PDS2 is having a big impact on the Financial Services industry as its various iterations come into force. What does PDS2 entail? The second iteration of the Payment Services Directive was introduced in 2015, although the latest deadline for compliance, which will have applied to most banks has just passed on March 14th. The deadline … Read more

5AML is on its way – what are the key changes?

1st May 2019 - Blog Posts

The Fifth Anti-Money Laundering Directive is on its way, having been passed by the EU, and it is due to come into force in January 2020. The good news from a compliance perspective is that the latest iteration of the directive is more a series of amendments to the 2017 directive, rather than a complete … Read more