2025 ACA Conference
Join us in sunny Orlando, Florida for ACA's 2025 Conference, "Preparing Today, Protecting Tomorrow," where industry leaders and experts will converge to explore the evolving landscape of financial services.
Conference
Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory compliance news and 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 regulatory compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
How ACA’s Form PF Solutions Can Help Lighten the Load
The U.S. Securities and Exchange Commission’s ("SEC") Form PF presents many challenges for investment advisers, particularly those that have large data sets and multiple administrators.
Compliance Alert
- Compliance
What to Expect from Electronic Communications Exam Requests
SEC examinations of Registered Investment Advisers are on the rise. Here's a look at what the regulators are asking for and considerations for production.
Compliance Alert
- Compliance
New Prudential Framework: Impact Analysis for EU Investment Firms
The premise of the new rules will be to ensure investment firms have a prudential framework designed to be simpler and more proportionate to the operations of these types of firms. However, these changes will result in significant alteration to how investment firms measure their capital for regulatory purposes.
Article
- Compliance
Recent Regulatory Reporting Updates - What Your Firm Needs to Know
Firms in both the U.S. and the UK need to be aware of recent changes made to regulatory reporting forms.
Compliance Alert
- Compliance
Making a List, Checking it Twice: A CCO’s Guide to Finishing the Year Strong and Preparing for 2018
With only 19 business days left in the year, the pressure is mounting to cross those final compliance to-do’s off the list and finish the year strong.
Article
- Compliance
Wrap Up Compliance Projects by Year-End
Have you fallen behind schedule with your compliance testing and surveillance? Need an extra hand to assist with your annual compliance review? With year-end clearly in sight, we are avail
Article
- Compliance