MFA Legal & Compliance New York 2024
Join our team in NYC at the MFA Legal & Compliance Conference.
Conference
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
Surveillance Program Gap Analysis Checklist
Download our checklist to ensure your surveillance program can weather changing the risk environment.
Article
- ComplianceAlpha
- Compliance
- eComms Surveillance
- Trade Surveillance
New Requirements for Broker-Dealer Execution Quality Reports
Amendments to Rule 605 also require attention from Investment Advisers and Investment Company Directors
Compliance Alert
- Compliance
- Broker-Dealer
- SEC
U.S. Regulatory Update – February 2024
This update covers new rules for asset-backed securities transactions, tips for filing Form ADV, FINRA's new rules for home offices and the remote office inspection program, the Corporate Transparency Act, and more.
Newsletter
- Compliance
- SEC
- FINRA
The FCA Proposes a New Approach to Publicise Investigations
The FCA’s recent proposal to publicise investigations should prompt investment firms to take a fresh look at compliance culture, platforms and testing.
Compliance Alert
- FCA
- Compliance
FINRA’s New Remote Branch Office Inspection Pilot Program and Residential Supervisory Location Designation
FINRA recently published a regulatory notice to revise the definition of an OSJ and how OSJs are supervised.
Compliance Alert
- Compliance
- FINRA
8 Steps CCOs Should Take Now to Prepare for AI Regulation
Without question, one of the hottest topics for firms over the past year has been the emergence and rapid adoption of Artificial Intelligence (AI)-based tools and technologies in the workplace. However, AI use is not without risk Read our recent blog outlining details of the regulatory response to AI use in financial services firms and get our 8 steps to better manage AI Risk.
Article
- Compliance
- Cybersecurity
- Artificial Intelligence (AI)
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