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
FCA Releases Final Rules on the Use of Appointed Representatives
The FCA has issued final rules on the Appointed Representatives (“AR”) regime, aimed at protecting consumers. We examine the new expectations and what they mean.
Compliance Alert
- Compliance
FCA's Latest Dear CEO Letter: Is the Devil in the Detail?
The FCA's latest Dear CEO letter notes that recent events have caused them to reassess their supervisory priorities for the alternatives sector.
Compliance Alert
- Compliance
Custody Rule Violations and Inaccurate Form ADV Disclosures
The SEC is cracking down on Custody Rule violations, announcing recent charges against 9 advisory firms.
Compliance Alert
- Compliance
- SEC
Implications of the SEC's Draft Strategic Plan
While the SEC’s draft Strategic Plan does not appear to indicate a directional shift, it does nod toward more aggressive enforcement. Learn how this affects your firm.
Compliance Alert
- Compliance
- Cybersecurity
LTAF or Having a Laugh?
The FCA recently announced a proposal to broaden retail access to Long-Term Asset Fund (“LTAF”). But what is an LTAF? Does anyone actually want one? Or is this just a regulatory anagram for FLAT?
Article
- Compliance
- FCA
The Ultimate Guide on the Fundamentals of ETFs
ACA Foreside spoke with panelists at WealthManagement.com's EDGE conference about the fundamentals of an ETF.
Article
- Compliance
- Distribution
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