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
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
SEC Conducts Sweep of AI Use by Investment Advisers
As part of the SEC’s recent focus on AI, the Division of Examinations has initiated a sweep of investment advisers on how AI-based tools are being used by the firms.
Compliance Alert
- Compliance
- Cybersecurity
Private Fund Adviser Rules Cheat Sheet
Our SEC Private Fund Adviser Rules cheat sheet is designed to simplify these intricate regulations.
Article
- Private Fund
- SEC
- Compliance
- Performance
Laying the Groundwork for Future Shadow Trading Enforcement
The denial of a summary judgement in the SEC's case against a pharmaceutical company executive opens the door for the SEC to pursue other shadow trading cases.
Compliance Alert
- RegTech
- Compliance
- Trade Surveillance
Strategies to Transform Your Compliance Program with Technology - #1: Champion(s)
Having a knowledgeable, engaged business partner behind you will help ensure that technology is implemented effectively and adopted successfully.
Article
- RegTech
- Compliance
The Corporate Transparency Act: The Latest Iteration of Customer Due Diligence in the Financial Crime Toolkit
FinCEN issued the Corporate Transparency Act to create greater transparency into the beneficial owners of small companies.
Compliance Alert
- AML and Financial Crime
- Compliance
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