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
Looking Ahead: A Review of FCA and SEC Priorities, and What to Focus on in 2022
What are the key developments across the FCA and SEC regulatory regimes, which items should feature as priorities on your “to-do” list for the next twelve months, and how should firms respond to increased surveillance by regulators around the world?
Article
- Compliance
- FCA
- SEC
- ESG
- SEC Marketing Rule
Finding Stability in an Unpredictable World
We examine the challenges set to face firms over the next twelve months, including ESG, equivalence vs. divergence, the new world of work, transaction reporting, market surveillance, cyberthreat trends, the SEC’s new marketing rule, post-COVID recovery, the future of regulatory hosting, as well as FCA and SEC priorities.
Article
- FCA
- SEC
- ESG
- SEC Marketing Rule
- Compliance
New Marketing Rule Challenges for Real Estate Advisers
Advisers that focus on real estate strategies are working through some unique issues as they prepare to implement the provisions of the rule.
Article
- Compliance
Future-Proofing Compliance Best Practices with Technology
Shifting demands in regulators on financial services firms have elevated the importance of compliance to best practices. Learn what compliance officers are focused on in their surveillance processes.
Article
- RegTech
- ComplianceAlpha
- Compliance
SEC Enforcement Action for Violating Reg BI Standards
The U.S. SEC filed an enforcement action against a broker-dealer and five of its registered representatives for violating certain provisions of Regulation Best Interest
Compliance Alert
- SEC
- Compliance
2022 Investment Management Compliance Testing Survey Results Released
For the second year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one worry for investment adviser compliance officers, according to the 2022 Investment Management Compliance Testing Survey.
Press Release
- 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