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

abstract circles of multiple sizes connected by lines

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
Women on video conference call

FCA Market Watch 66 – Communications Recording Remains a Focus as Employees Continue to Work From Home

In its Market Watch 66, the FCA reminds firms around of their obligations to record telephone conversations and electronic communications - regardless of COVID-19 induced work environments. We examine considerations and requirements for firms.

Compliance Alert
  • Compliance
  • FCA
highway at night from overhead

Hedge Fund Update: News You May Have Missed

In this edition of ACA's Hedge Fund Update, we discuss who the new SEC Chair may be, recent risk alerts, enforcement actions, and more.

Article
  • Compliance
highway at night from overhead

SEC Adopts New Marketing Rule for Investment Advisers

The U.S. Securities and Exchange Commission (SEC) has finalized the long-awaited overhaul of the Advertising Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940 (Advisers Act)).

Article
  • Compliance
  • SEC Marketing Rule
curved glass building looking up at a blue sky

Q1 2021 Regulatory Reporting Deadlines

Investment advisers must meet various regulatory filings requirements throughout the year. We summarized the regulatory filing submission deadlines for the first quarter of 2021.

Compliance Alert
  • Compliance
curved glass building looking up at a blue sky

Short-Selling: Potential Dual-Reporting Requirement for Dual-Listed UK/EU Shares

From the end of the Brexit transition period on 1 January 2021, the UK became a ‘third country’ when reporting to EU regulators under the EU Short Selling Regulation. Following updates from ESMA, firms may now be subject to a dual-reporting requirement.

Compliance Alert
  • Compliance
See more insights

Events

Wealth Management EDGE

Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.

Conference

2024 FINRA Annual Conference

Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.

Conference
More Events