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
UNPRI’s Next Reporting Period Delayed Until Early 2023
The United Nations-supported Principles for Responsible Investment (PRI) recently announced a delay in the next PRI reporting period, along with the release of 2021 scores and public transparency reports. We outline what this means for firms.
Compliance Alert
- ESG
- Compliance
European Regulator Fines Major Trade Repository for EMIR Breaches
The EU’s securities markets regulator, European Securities and Markets Authority (ESMA), recently fined a major trade repository for eight breaches of the European Market Infrastructure Regulation (EMIR). We examine why it’s vital that firms review the quality of their reporting, including where it is being delegated, to be sure it meets regulatory expectations.
Compliance Alert
- Compliance
- Trade & Transaction
- RegTech
FINRA Reminds Firms of Supervisory Obligations Related to Outsourcing to Third-Party Vendors
FINRA recently issued a notice to members reminding them of their third-party vendor supervisory obligations. It provides guidance regarding conducting diligence, onboarding the vendor, and supervision of the vendor's activities.
Compliance Alert
- Compliance
IFPR is Just 100 Days Away: Are You Ready?
There are just 100 days until the Investment Firm Prudential Regime #IFPR comes into force. Are you ready? We've created a checklist capturing 13 considerations for successful implementation of the required changes ahead of the 1 Jan 2022 deadline.
Compliance Alert
- Compliance
- Managed Services
NFA Announces Amendments to Interpretive Notice 9002 Regarding Branch Office Registration
On September 16, 2021, the National Futures Association (“NFA”) issued a Notice to Members I-21-28 regarding changes to the definition of a branch office under NFA Interpretive Notice 9002. The rule was a response from the NFA in the recent trend in hybrid work environments as more employees are working from their homes.
Compliance Alert
- Compliance
Hedge Fund Quarterly Update 2021 Q3
Learn more about recent regulatory developments industry insights in our Hedge Fund Quarterly Newsletter.
Article
- 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