Compliance Insights and Alerts

Subscribe for more insights
  1. Insights
  2. 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

curved glass building looking up at a blue sky

AML Update for Investment Advisers

The 2015 FinCEN Proposal and several other financial crime risks make AML relevant for investment advisers and all other participants in the securities and financial industry. This update summarizes key developments in the AML space during the first half of 2021 and how they may impact your firm.

Compliance Alert
  • AML and Financial Crime
  • Compliance
Architectural image - office windows

New Research Shows That 97% of Firms are Reporting Incorrectly Under MiFIR/EMIR

Recent research and analysis shows 97% of reports under MIFIR/EMIR contain inaccuracies, on average each report has 30 separate error types. But worryingly, despite this, 87% of firms are confident in the quality of their reports. On the anniversary of EMIR REFIT, data quality is still poor

Press Release
  • Compliance
  • Trade & Transaction
  • Managed Services
  • ACA News
city skyline from above

White Paper: Compliance Considerations for SPAC Sponsors

In our newest white paper, we explore the many operational and compliance concerns asset managers should keep in mind when sponsoring a SPAC.

Report
  • Compliance
abstract black and white looking up at building

ACA Group Enhances Compliance Team with New Hires: Former CCOs, Attorneys, and Regulators

To best serve the unique and evolving needs of our clients, ACA is adding a number of outstanding professionals to our investment adviser compliance practice. In the past few months, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry.

Press Release
  • Compliance
Image of honeycomb and worker bees

ACA Group joins United Nations-supported Principles for Responsible Investment

Reinforcing our commitment to work towards implementing ESG considerations in the global investment processes and a more sustainable financial system, we have become a signatory to the United Nations-supported Principles for Responsible Investment (PRI).

Press Release
  • ESG
  • Compliance
  • ACA News
Architecture curved window

The UK’s Investment Firm Prudential Regime: 13 Key Considerations for Successful Implementation

With less than 150 working days until the Investment Firm Prudential Regime (IFPR) comes into force, we've created a checklist capturing 13 considerations for successful implementation of the required changes ahead of the 1 Jan 2022 deadline

Article
  • Compliance
  • FCA
  • Regulatory Deadlines
See more insights

Events

More Events