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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
Midterm Elections Are Coming Up: How is Your Firm Monitoring Contributions and Government Relationships?
The midterm elections are a few short months away, and a number of recent administrative proceedings against both registered investment advisers and exempt reporting advisers by the U.S. Securities and Exchange Commission (“SEC”) should serve as a valuable reminder of the importance of actively monitoring for risks that exposure to government entities or political parties may present. Here are helpful insights and suggested action items to help advisers mitigate these risks.
Compliance Alert
- Compliance
Record Keeping: Putting it to the test – A Q&A with Charlotte Malin and Matthew Chapman
A key pillar of the MiFID II regime is the record keeping requirements that underpin many of the new or enhanced obligations. Now seven months after MiFID II implementation, what challenges have these requirements created for the buy-side? We discuss this with senior compliance consultants, Charlotte Malin and Matthew Chapman.
Article
- Compliance
2018 Compliance Testing Survey: Cybersecurity Still Top Concern, Use of Technology on the Rise
For the fifth year in a row, cybersecurity continues to be the biggest compliance concern at registered investment adviser firms.
Press Release
- Compliance
The impact of the new prudential regime on commodity trading firms
Commodity trading firms ─ currently outside the scope from the regulatory prudenti
Article
- Compliance
- FCA
Five Key Steps to Compliance with the SFC’s Fund Manager Code of Conduct
Investment management firms with operations in Hong Kong must turn its attention to the new Securities & Futures Commission (SFC) Fund Manager Code of Conduct (FMCC), which comes into force in four months. The package of new rules will apply to anyone licensed to carry out asset management regulated activity in Hong Kong. Here are five key steps to reach compliance with the SFC’s new FMCC.
Article
- Compliance
Cryptocurrency Regulation FAQs for Investment Advisers
Discussion of recent developments in the regulation of digital assets, and how investment advisers’ compliance programs can adapt to manage related risks. This post provides ACA's take on a few of the most commonly asked questions.
Compliance Alert
- Compliance