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
Feeling Your Pain: Advice for Updating Form ADV
With the deadline for many investment advisers to file their annual Form ADV coming March 31st, we tackle some of the most challenging questions and share guidance for easing the process.
Article
- SEC
- Compliance
Tip for Updating Your Compliance Program: Marketing Rule Compliance
The SEC has stated that future examinations will include a focus on compliance with the new Marketing Rule. We share our guidance for preparing and updating your firm's compliance program.
Article
- Compliance
Silicon Valley Bank, Signature Bank, and Silvergate Bank: Responding to Market Disruption with a Stronger Compliance Program
Six key areas your firm should focus on now: the decisions that compliance professionals make this week after recent bank collapses will have important implications for their firms, the clients that they serve, and the capital markets generally.
Compliance Alert
- Compliance
The SEC Proposes Big Changes to the Custody Rule
Responding to changes in "technology, advisory services, and custodial practices," the SEC’s proposal expands the current rule’s coverage to all client assets where the adviser has custody.
Compliance Alert
- Compliance
- SEC
SEC Amends Rule 15c6-1 to Reduce Settlement Time
The SEC recently adopted an amendment to reduce the time to settle a security purchase or sale from T+2 to T+1 and added Rule 15c6-2.
Compliance Alert
- Compliance
- SEC
Tip for Updating Your Compliance Program: MNPI Compliance Issues
In the third article in our series of tips for understanding the SEC's 2023 focus areas, we discuss our recommendations for MNPI and Code of Ethics compliance.
Article
- Compliance
- SEC
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