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
Registered Investment Company Initiatives Exam Observations
The U.S. Securities and Exchange Commission’s Division of Examinations issued a Risk Alert that provides observations from examinations conducted as part of the Division’s registered investment company initiatives.
Compliance Alert
- Compliance
- SEC
Early Signs of a Significantly More Expansive Approach to SEC Examinations of Private Markets Fund Managers
While it is too early to characterize as a trend, in Q2 2021, we started to see early signs of a significant expansion in the scope of SEC exams involving private markets fund managers.
Article
- Compliance
Q&A: Understanding the new Remuneration Rules under the UK’s Investment Firms Prudential Regime
The UK’s Investment Firms Prudential Regime (“IFPR”) comes into force in less than 50 working days. Its more prescriptive approach to remuneration introduces new complications and challenges for firms. This essential Q&A helps you better understand your remuneration rule requirements.
Compliance Alert
- Compliance
- Managed Services
FCA Warn of 'Tough, Assertive Approach’ to Brexit TPR Landing Slot Authorisations
The FCA recently warned of "a tough, assertive approach" to financial services firms wishing to continue to operate in the UK post the Brexit Temporary Permissions Regime. Learn more about why this leaves firms at risk of being prevented from initiating further regulated activity in the UK.
Compliance Alert
- Brexit
- Compliance
SEC Chairman Gensler Signals an Increase in Scrutiny & Regulation of Private Markets Fund Industry
SEC Chariman Gary Gensler recently signaled increased scrutiny of private markets fund managers. He honed in on the significant increase in the private equity and venture capital fund industry over the last 5 years.
Article
- Compliance
- SEC
Q4 2021 Regulatory Reporting Deadlines
Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from October through December 2021.
Article
- Compliance
- Regulatory Deadlines
- RegTech
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