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

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SEC Issues Risk Alert for Municipal Advisors

The SEC issued a risk alert reminding municipal advisors of their regulatory obligations. We break down the primary deficiencies and weaknesses they discuss.

Compliance Alert
  • SEC
  • Compliance
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Electronic Communications Recordkeeping Failures Cost Large Firms More than $1.1 Billion

The SEC fined 16 firms for failure to capture certain communications, and failure to supervise their employees by not detecting or preventing the use of unapproved devices. Find out what you need to know.

Compliance Alert
  • eComms Surveillance
  • Compliance
  • RegTech
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Russell Investments Selects ACA Group’s ARRMA Service to Enhance Regulatory Reporting

Leading global investment solutions firm chooses ACA’s ARRMA (ACA Regulatory Reporting Monitoring & Assurance) service to help manage its MiFIR and EMIR transaction reporting arrangements.

Press Release
  • Compliance
  • Trade & Transaction
  • RegTech
summer regulatory update

Regulatory Update Summer 2022

This edition provides unique insights on regulatory developments for investment advisers, private fund managers, broker-dealers, dual-registrants, and mutual funds.

Article
  • SEC
  • Compliance
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SEC Announces Marketing Rule Compliance as Exam Priority

With the SEC's new Marketing Rule starting in just a few short weeks, the Division of Examinations has issued a Risk Alert sharing the top focus areas that exams will be focused on.

Article
  • SEC
  • SEC Marketing Rule
  • Compliance
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Interval Funds Basics

In this article, we break down the fundamentals of interval funds, discussing the core concepts behind these non-traditional mutual funds.

Article
  • Compliance
  • Distribution

Events