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
Tip for Updating Your Compliance Program: Continuing Education Requirements
In the second article in our series of tips for understanding the SEC's 2023 focus areas, we discuss our recommendations for keeping tabs on continuing education requirements.
Article
- Compliance
- SEC
Tip for Updating Your Compliance Program: SEC Focus on Hedge Clauses
In the first article in our series of tips for understanding the SEC's 2023 focus areas, we discuss the regulator's focus on hedge clauses in advisory agreements.
Article
- Compliance
SEC Regulation Best Interest (Reg BI) Exam Observations Risk Alert
The SEC Division of Examinations issued a risk alert describing its observations of Regulation Best Interest deficiencies during broker-dealer exams.
Compliance Alert
- SEC
- Compliance
U.S. Regulatory Update – February 2023 Edition
This month we share updates about the SEC’s amendments to Rule 10b5-1 related to corporate issuer insider trading programs, the several new state privacy law taking effect this year, and more.
Newsletter
- SEC
- Compliance
The Importance of Insider Trading Controls for Private Markets
The risk of involvement in insider trading has intensified for private markets fund managers, who often underestimate their exposure to insider information.
Article
- Managed Services
- Compliance
- RegTech
- ComplianceAlpha
- eComms Surveillance
- Trade Surveillance
The SEC’s 2023 Exam Priorities
The SEC's Division of Examinations released its annual exam priorities, which focus on compliance, fraud prevention, risk monitoring, and informing policy.
Compliance Alert
- Cybersecurity
- SEC
- Compliance
- ESG
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