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
Demystifying the Private Fund Adviser Rules
The Private Fund Adviser Rules significantly impact how firms deal with investors, including requiring increased disclosure of fees and expenses, investments, and performance.
Article
- Private Fund
- Compliance
- Performance
U.S. Regulatory Update – Winter 2023
This update covers the SEC's 2023 enforcement results, implications of the Corporate Transparency Act, the DOL's new fiduciary rule proposal, the CFTC's new blueprint for enforcement, and more.
Newsletter
- Compliance
- Cybersecurity
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