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 Examination Trends Report
We share our observations concerning the SEC's Division of Examinations' public priorities and our insights and practical considerations from recent exams.
Article
- Compliance
- SEC
SEC Sends $1.1 Billion Warning to Financial Firms that Ignore Record-keeping Requirements
$1.1BN of fines were recently issued to sixteen high-profile financial services firms for communication failings, with more regulatory enforcement expected. Learn more about what this means for SEC-registered firms around the world.
Article
- Compliance
- RegTech
- SEC
FAQs: Top Questions Answered About the SEC's Marketing Rule
As the compliance date of November 4th nears, confusion about the SEC's new Marketing Rule continues. We answer the most commonly asked questions about the requirements of the rule.
Article
- SEC
- SEC Marketing Rule
- Compliance
- Performance
FCA Market Watch 70: Regulator Sharpens Claws on Inadequate Reporting Arrangements
The FCA’s Market Watch 70 takes aim at failings in trade reporting arrangements, quickly followed up with a fine to a brokerage company and its directors. We provide practical guidance on how to spot your errors before the regulators do.
Article
- FCA
- Trade & Transaction
- Compliance
SEC Reopens Select Comment Periods After Tech Glitch
The SEC reopened the public comment periods for certain proposed rules due to a technological error earlier this year. We share which proposed rules were affected and should be checked for accurate comment submission.
Compliance Alert
- SEC
- Compliance
- Cybersecurity
- ESG
Regulatory Update October 2022
In our October Regulatory Update, we share unique insights and practical thought leadership on recent regulatory developments for investment advisers, private fund managers, broker-dealers, dual-registrants, and mutual funds.
Newsletter
- SEC
- 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