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
What’s in a Name?
In May 2022, the SEC announced proposed amendments to Rule 35d-1, which requires that if a fund’s name suggests a focus in a particular type of investments, they must invest at least 80% of the value of its assets in those types of investments.
Article
- Compliance
FCA Market Watch 69: Focus on Market Conduct and Transaction Reporting
The regulator discusses firms’ arrangements for market abuse surveillance - drawing on their observations from engaging with small and medium-sized firms.
Compliance Alert
- Compliance
- RegTech
- FCA
- Trade & Transaction
- Trade Surveillance
- ComplianceAlpha
Reviewing the Form ADV
Advisors must stay on top of changes in their firm, as well as regulatory updates, that could impact any part of their Form ADV.
Article
- SEC
- Compliance
SEC Proposes Rule Amendments Regarding SPACs, Shell Companies, and Projections
The SEC issued a rule proposal to improve investor protections in connection with both initial public offerings made by SPACs, and de-spac transactions.
Compliance Alert
- Compliance
Sustainable Securitisation: White Whale or Inevitable Next Step in Evolution?
As investor interest in ESG rises, we examine the impact on the credit sector, and in particular the European Collateralised Loan Obligation (CLO) industry and ask, is it possible to satisfy investor demand and ESG regulations?
Article
- ESG
- Compliance
Operational Challenges with Performance Calculation and Reporting
Strengthen performance calculation and reporting processes to combat the opportunity for error caused by heightened investor scrutiny and new regulatory requirements.
Article
- Compliance
- Performance
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