Compliance Insights and Alerts

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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

London financial district skyscrapers looking upward

2021 Regulatory Reminders and Upcoming Deadlines for European firms

A summary of key tasks for compliance teams with a European presence along with a summary of FCA’s priorities during 2021, our analysis of key regulatory developments, and an outline of longer-term trends.

Article
  • Compliance
  • Brexit
  • Cybersecurity
  • RegTech
  • Mirabella
  • ESG
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RiskMutation™: Spearheading the Operational Response to Evolving Business Risks Following COVID-19

Business disruption, cybersecurity challenges and greater compliance burdens are well acknowledged operational challenges facing hedge fund, private equity and investment management industries. We examine how COVID-19 has heralded sweeping changes to the way financial services firms operate.

Article
  • Compliance
  • RiskMutation
  • BCP
  • COVID-19
EU and UK Flags

ESMA – Increased Focus on “MIFID II Reverse Solicitation” Rules Following the End of the UK Transition Period

A recent ESMA public statement reminds firms of MiFID II rules on “reverse solicitation”. We examine what this means for firms that provide investment services to retail and/or professional clients from locations outside of the European Union.

Compliance Alert
  • Compliance
Blog IAA image

Managing Compliance Concerns in the Wake of GameStop Corp. Stock Inflation

Investors have seen stocks soar to extreme heights driven, in large part, by the concerted efforts of participants in an online forum. These developments create a number of significant risks for investment advisers.

Compliance Alert
  • Compliance
Alt Data

White Paper: Does the Use of Alternative Data Require Alternative Compliance Measures?

This white paper will explore the many compliance concerns asset managers should keep in mind when obtaining and utilizing alternative data to ensure compliance with the SEC's compliance rule.

Report
  • Compliance
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Key Trends and Forces Shaping Risk and Compliance Management in 2021: Report

ACA's Carlo di Florio discusses the financial industry trends and broader forces impacting risk and compliance management in 2021.

Article
  • Compliance
  • RiskMutation
  • RegTech
  • Cybersecurity
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Events

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
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