Is Your Firm Ready for the Evolving Regulatory Landscape in 2025? As the first chapter of 2025 unfolds, the regulatory environment for firms remains dynamic and complex. Proactive preparation is key- with new regulatory expectations on the horizon, it's crucial to allocate the right resources and budget for both upcoming regulatory projects and the enhancement of your existing compliance frameworks. Here are some examples of key focus areas that regulated firms must address to stay ahead in this rapidly changing landscape: 1️⃣ Fraud Prevention & Financial Crime 🌟 - The Financial Conduct Authority (FCA) is prioritising the fight against all forms of financial crime, not just money laundering. Upgrading transaction monitoring systems and enhancing staff training is paramount. 2️⃣ Market Abuse Detection 🌟 - With the FCA ramping up its focus on market abuse and particularly surveillance, firms must refine their systems to effectively identify potential abuses. 3️⃣ Wholesale & Capital Markets Reforms 🌟 - more reforms are coming that will reshape the capital markets landscape. It's time to prepare. 4️⃣ AI & Digital Assets 🌟 - Emerging regulations around AI governance and engaging in digital assets will require firms to implement robust frameworks for accountability and oversight. 5️⃣ Core Compliance Functions 🌟 - Ongoing compliance responsibilities should not be overlooked. Regular monitoring, risk assessments, and effective training for your compliance personnel as well as your business are fundamental. As we embark on this new year, make sure your firm is not just reactive, but proactively strategising for the challenges ahead. Curious to learn more? At Leaman Crellin our team’s expertise is unparalleled. We offer tailored solutions on all financial regulatory and compliance matters from consultancy and training to insights, regulatory alerts or a Business Health Check, helping you to navigate the 2025 regulatory challenges effectively. To read our “Looking Ahead To 2025” article that dives into these key focus areas in more detail, please see the link below. Alternatively drop us a note and we’d be happy to discuss these challenges in more detail. https://lnkd.in/eA_5e99b
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Tip: In today's complex regulatory environment, staying informed about regulatory changes is paramount. Collaborate with a compliance expert to ensure all investments remain legally sound and aligned with the latest laws. This proactive approach not only safeguards your portfolio but also enhances trust and credibility with clients. #WealthManagement #RegulatoryCompliance #InvestmentStrategies #FinancialPlanning #StayInformed
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Please join us on November 21 for panel discussion that will provide practical insights to help businesses navigate today’s complex compliance challenges and stay ahead of emerging risks. Learn more: https://lnkd.in/gY78B_C3 Panelists: Karyn Mysliwiec, Len Suzio & Mehul Madia #compliance #regulatory #Chicago
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Check out our 2024 CCO Playbook 👇👇👇
Our 2024 U.S. CCO Playbook is here! This essential guide dissects the latest SEC and FINRA findings to help your firm navigate evolving regulatory complexities. “Compliance programs are currently contending with one of the most active regulatory landscapes while at the same time navigating market ebbs and flows and global financial trends," said our CEO Michael J. Stanton. "The annual CCO Playbook provides compliance professionals with both a retrospective of the past year, including a detailed look at how to best avoid areas of noncompliance noted by regulatory bodies, as well as a predictive outlook for the coming months.” https://lnkd.in/egwnXbzg
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New 13f-2 requirements are on the horizon and non-compliance could potentially lead to costly fines and civil sanctions. Make sure your firm is prepared to meet the demands and avoid regulatory risk. Register for our upcoming webinar on October 17 at 10am ET for critical insights on the rule from industry experts and make sure your firm is ahead of the curve. https://lnkd.in/gWe3aEEd #Compliance #13F2 #RegulatoryUpdates #AssetManagement #Webinar #RiskManagement #ExpectIt
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Our 2024 U.S. CCO Playbook is here! This essential guide dissects the latest SEC and FINRA findings to help your firm navigate evolving regulatory complexities. “Compliance programs are currently contending with one of the most active regulatory landscapes while at the same time navigating market ebbs and flows and global financial trends," said our CEO Michael J. Stanton. "The annual CCO Playbook provides compliance professionals with both a retrospective of the past year, including a detailed look at how to best avoid areas of noncompliance noted by regulatory bodies, as well as a predictive outlook for the coming months.” https://lnkd.in/egwnXbzg
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Download the 2024 CCO Playbook to ensure nothing slips through the cracks with the ever-changing compliance landscape!
Our 2024 U.S. CCO Playbook is here! This essential guide dissects the latest SEC and FINRA findings to help your firm navigate evolving regulatory complexities. “Compliance programs are currently contending with one of the most active regulatory landscapes while at the same time navigating market ebbs and flows and global financial trends," said our CEO Michael J. Stanton. "The annual CCO Playbook provides compliance professionals with both a retrospective of the past year, including a detailed look at how to best avoid areas of noncompliance noted by regulatory bodies, as well as a predictive outlook for the coming months.” https://lnkd.in/egwnXbzg
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The CCO Playbook!! Knowledge is power!!
Our 2024 U.S. CCO Playbook is here! This essential guide dissects the latest SEC and FINRA findings to help your firm navigate evolving regulatory complexities. “Compliance programs are currently contending with one of the most active regulatory landscapes while at the same time navigating market ebbs and flows and global financial trends," said our CEO Michael J. Stanton. "The annual CCO Playbook provides compliance professionals with both a retrospective of the past year, including a detailed look at how to best avoid areas of noncompliance noted by regulatory bodies, as well as a predictive outlook for the coming months.” https://lnkd.in/egwnXbzg
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New 13f-2 requirements are on the horizon and non-compliance could potentially lead to costly fines and civil sanctions. Make sure your firm is prepared to meet the demands and avoid regulatory risk. Register for our upcoming webinar on October 17 at 10am ET for critical insights on the rule from industry experts and make sure your firm is ahead of the curve. https://lnkd.in/gWe3aEEd #Compliance #13F2 #RegulatoryUpdates #AssetManagement #Webinar #RiskManagement #ExpectIt
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New 13f-2 requirements are on the horizon and non-compliance could potentially lead to costly fines and civil sanctions. Make sure your firm is prepared to meet the demands and avoid regulatory risk. Register for our upcoming webinar on October 17 at 10am ET for critical insights on the rule from industry experts and make sure your firm is ahead of the curve. https://lnkd.in/exTciE-N #Compliance #13F2 #RegulatoryUpdates #AssetManagement #Webinar #RiskManagement #ExpectIt
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Get an update on all things global investment monitoring in our September RegTech Report: https://lnkd.in/eVCtGGvu #investmentmonitoring #shareholderdisclosure #shortselling #compliance #RegTech #ExpectIt
