Key Findings from the ACA and NSCP 2024 Cybersecurity Program Benchmarking Survey
We will share valuable insights from our biannual Cybersecurity Benchmarking Survey in partnership with NSCP.
Webcast
Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
2024 FINRA Regulatory Filings Calendar
Prepare for the year ahead with our FINRA regulatory filings calendar. Our at-a-glance calendar provides key reporting deadlines and on-going and annual regulatory obligations in an easy to understand format.
Article
- Compliance
2024 Regulatory Filings Calendar for Investment Advisers
Our calendar provides key reporting deadlines and regulatory obligations for investment advisers registered with the SEC, CFTC, NFA, UK FCA, and ESMA.
Article
- Compliance
- SEC
- FCA
Reporting of Securities Lending Transactions
The SEC recently approved a rule requiring securities lending transactions to be reported to FINRA within 15 minutes of completion.
Compliance Alert
- Compliance
Demystifying the Private Fund Adviser Rules
The Private Fund Adviser Rules significantly impact how firms deal with investors, including requiring increased disclosure of fees and expenses, investments, and performance.
Article
- Private Fund
- Compliance
- Performance
U.S. Regulatory Update – Winter 2023
This update covers the SEC's 2023 enforcement results, implications of the Corporate Transparency Act, the DOL's new fiduciary rule proposal, the CFTC's new blueprint for enforcement, and more.
Newsletter
- Compliance
- Cybersecurity
AI in UK Financial Services: Unbelievable Potential is Not Without Compliance Risk
The latest joint discussion paper FS2/23 issued by the BoE, FCA, and PRA outlined that the existing UK regulatory frameworks encompass ways in which AI is being used.
Article
- Compliance
- Cybersecurity
Events
Chicago Compliance Officer Roundtable: Hot Topics for Investment Advisers
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
Conference
Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night
Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.
Webcast