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
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
NAV Lending Regulatory Considerations
We explain the benefits of this type of funding and the considerations to take into account before choosing to do so.
Article
- Compliance
- SEC
Choosing Your Path to Launch Your Firm into a New Region
While different financial markets offer significant opportunities, there are a number of things to consider before launching in a new jurisdiction.
Article
- Compliance
- FCA
- SEC
SEC Rule 13f-2: Are you ready for the January 2, 2025 filing deadline?
Prepare for the 2025 SEC Rule 13F-2 deadline by understanding enhanced short sale requirements. We provide expert support for accurate submissions.
Article
- Compliance
- Regulatory Deadlines
Best Practices for Capturing Employee Personal Trading Activity for SEC-Regulated Firms
In today's complex financial landscape, SEC-regulated firms face increased scrutiny around the monitoring and reporting of employees' personal trading activities.
Article
- RegTech
- ComplianceAlpha
- Compliance
SEC Charges Broker-Dealers with Filing Deficient Suspicious Activity Reports
The SEC recently fined broker-dealers for SARs filings that failed to meet regulatory requirements.
Compliance Alert
- Compliance
- SEC
- AML and Financial Crime
ACA/NSCP 2024 AI Benchmarking Survey Results
To help firms better understand and manage AI risks, ACA and the NSCP partnered to explore how financial firms are utilizing AI and what controls they are putting in place to manage risks inherent in the new technology.
Report
- Compliance
- Artificial Intelligence (AI)