Compliance Insights and Alerts

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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

December

U.S. Regulatory Update – December 2022 Edition

This issue covers the SEC Division of Enforcement’s 2022 annual report, FINRA’s recent sweep of crypto-related communications, recently adopted mutual fund rules, and compliance concerns for real estate fund managers when interest rates rise.

Article
  • Compliance
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FCA Fines Broking Firm and Bans Former Directors Over Reporting Failures

A global brokerage firm has been hit with a £531,000 FCA fine for failing to make reports crucial in fighting potential market abuse. Its board members were also fined and banned from management positions in FCA regulated firms. We assess how and why this happened and provide practical guidance to avoid similar enforcements.

Compliance Alert
  • Compliance
  • Trade & Transaction
  • FCA
  • ComplianceAlpha
  • Trade Surveillance
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EXAMS Risk Alert Warns Advisers and Broker-Dealers to Beef Up Identify-Theft Practices

EXAMS issued its sixth Risk Alert to let advisers and broker-dealers know how firms are failing to meet their obligations under Regulation S-ID, the “Identity Theft Red Flag Rule."

Compliance Alert
  • Compliance
  • SEC
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The Compliance Talent Supply and Demand Challenge

Compliance teams are increasingly challenged to keep regulatory pace and best practices while managing with fewer internal resources, demand for increased efficiency, and budget constraints. This leaves firms in danger of creating risky exposure gaps in their compliance program. Learn more about practical ways to address these challenges.

Article
  • Compliance
  • Managed Services
  • FCA
  • SEC
  • ComplianceAlpha
  • RegTech
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SEC Strategic Plan: More Enforcement, More Rules, and More Technology

The SEC issued its four-year strategic plan for 2022-2026. We summarize the goals of the plan and explore what it means for the next four years.

Compliance Alert
  • Compliance
  • SEC
  • Cybersecurity
  • ESG
  • RegTech
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Warning! Could a Political and Economic Omnishambles be Brewing for the Private Markets?

With an economic storm stemming largely from political ideology, we examine what impact this geopolitical and macroeconomic uncertainty has on the private markets.

Article
  • Compliance
  • FCA
  • SEC
  • Managed Services
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Events

Wealth Management EDGE

Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.

Conference

2024 FINRA Annual Conference

Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.

Conference
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