Global Regulatory Outlook for Cybersecurity
Join our experts for a global update on key cybersecurity regulations, including SEC’s Regulation S-P amendments, EU’s DORA, AI Act, and more.
Webcast
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
General Solicitation Under Regulation D – Recent Trends and Enforcement Activity
There has been a rise in 506(c) general solicitation offerings due to factors such as shifts in SEC's attitude and increased enforcement of 506(b) rules.
Article
- SEC
- Compliance
The Increasing Importance of Robust Insider Trading Controls at Private Markets Fund Managers
Private markets fund managers have underestimated insider trading risks due to their limited involvement in public markets, but increasing interactions with public companies and expert networks have heightened exposure to material nonpublic information (MNPI).
Article
- Compliance
U.S. Regulatory Update - Summer 2023
This edition includes updates to the SEC’s rulemaking calendar, recent money market fund reforms, FINRA's recent financial reports, and more.
Newsletter
- SEC
- Compliance
Private Fund Managers Should Reevaluate their Approach to Side Letter Management Amidst Increased Scrutiny
Regulators are increasingly focusing on side letter compliance during their examinations of private fund managers. This article provides practical solutions and strategies to effectively monitor and manage side letter obligations.
Article
- Compliance
SEC Proposes Rule to Limit Conflicts of Interest in AI-Based Investor Engagement Tools
The SEC proposed two new rules to put guardrails around the use of predictive data analytics by broker-dealers and investment advisers. The goal is to limit the use of technology in ways that favor financial firms’ interests.
Cyber Alert
- Compliance
- Cybersecurity
- Privacy
MiFID Research Bundling: Will the Expired Relief for U.S. Broker-Dealers be Reinstated?
MiFID II reformed research payment practices in Europe, but the expiration of relief from the SEC has prompted a bill in the U.S. House of Representatives to extend it for six months, aligning with potential changes in the regulations by the UK and EU.
Compliance Alert
- Compliance
- SEC
- Broker-Dealer
Events
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