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
SEC Private Fund Adviser Rules: What Made the Cut
The SEC recently voted to adopt new rules and amendments, known as the Private Fund Adviser Rule. Here's a summary of the new rules and how they changed from the original proposals.
Compliance Alert
- Compliance
- Performance
- Private Fund
The New TPF Regime: Treating Politicians Fairly?
The FCA has asked politically exposed persons to share their experiences with regulated firms as part of the regulator's review of firms’ treatment of PEPs.
Compliance Alert
- Compliance
- AML and Financial Crime
The SEC Adopts Private Fund Adviser Rules – What Firms Should Know
The SEC’s recent vote to adopt the Private Fund Adviser Rule (IA-5955) presents some of the most significant private funds regulatory reform since the Dodd Frank Act. Read our summary of the Final Rules and our guidance for firms.
Compliance Alert
- Compliance
- SEC
- Private Fund
White Paper: Unveiling Industry Perspectives on the SEC’s Proposed Cyber Rule 206(4)-9
The public has weighed in on the SEC's proposed Rule 206(4)-9, which sets cybersecurity risk management expectations for investment firms. In this guide, we discuss the industry's reaction, exploring the main areas of concern for the Rule.
Report
- Cybersecurity
- Compliance
- SEC
Regulatory Enforcement of Off-Channel Communications
The U.S. SEC has charged 11 financial firms for failing to maintain electronic communications, imposing penalties of over $289 million. This is part of a broader crackdown, with previous cases involving similar charges and penalties exceeding $1.5 billion, raising industry concerns about proper recordkeeping.
Compliance Alert
- SEC
- Compliance
- RegTech
FCA Publishes Market Watch 74
The UK FCA's Market Watch 74 focuses on transaction reporting issues, highlighting improvements but persistent data quality problems. It covers MDP usage, E&O submissions, validation rules, decision maker identification, and more.
Compliance Alert
- FCA
- Compliance