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.
Beginning in 2023, all registered representatives will be required to complete their CE Regulatory Element training annually by the end of each year.
The proposed rule requires investment advisers to ensure that third-party service providers can do their job before, and periodically after, being hired.
This month, we highlight the SEC’s crackdown on unmonitored messaging apps, their latest rule proposal addressing due diligence on service providers, and more.
ACA Group has announced its Managed Services as a comprehensive compliance offering to firms of all sizes around the world.
Macroeconomic trends are coming together to create a “superstorm” making it difficult for the financial industry to find and retain talent, creating compliance risks for firms. What are the practical solutions to address these challenges?
Learn more about recent regulatory developments and industry insights in our Private Markets Quarterly Newsletter.
We'll explain how the decision to outsource GRC services is no longer just a win for the Chief Compliance Officer – it offers a solution that can deliver substantial value across the entire C-suite and enterprise.
This unique webinar, which will share the results and key findings from over 200 compliance leaders that participated in the ACA and NSCP’s 2024 AI Benchmarking Survey.