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
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
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
The Global GRC Risks of Unauthorized Business Communication Channels
Communication has always been integral to the investment world and, as technology evolves and expands, the need for adequate and equally evolved surveillance mechanisms has grown.
Compliance Alert
- Compliance
- RegTech
- ComplianceAlpha
- FCA
- SEC
FINRA Provides Guidance on Succession Planning
FINRA has issued Regulatory Notice 22-23 to highlight the benefits of registered representative (RR) succession planning for customers, member firms, and the representatives themselves.
Article
- Compliance
FCA Fines UK Regulated Bank £1.5m for Poor Anti-Money Laundering Checks
The FCA recently fined a UK regulated bank £1.5 million for significant weakness in its financial crime systems and controls, having found serious shortcomings across the banks Anti-Money Laundering (AML) and Politically Exposed Persons (PEP) procedures.
Compliance Alert
- FCA
- Compliance
FINRA’s Amendments to Continuing Education Take Effect January 1st
Beginning in 2023, all registered representatives will be required to complete their CE Regulatory Element training annually by the end of each year.
Compliance Alert
- Compliance
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