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
Q4 2024 Regulatory Reporting Deadlines
Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from October through December 2024.
Article
- Compliance
- FCA
- FINRA
- Regulatory Deadlines
- SEC
CFTC Approves Registration Amendments
The CFTC approved some of the proposed amendments to CFTC Regulation 4.7.
Compliance Alert
- Compliance
FINRA’s Residential Supervisory Location Reporting Requirements
FINRA has established streamlined reporting requirements for RSLs through Form U4.
Compliance Alert
- Compliance
- FINRA
- Regulatory Deadlines
The DOL Retirement Security Rule Stalled
The DOL was stalled in its most recent attempt to re-define an investment advice fiduciary under ERISA.
Compliance Alert
- Compliance
How to Successfully Cover a Broker-Dealer
Helping asset managers select and work with an intermediary.
Article
- Compliance
SEC Private Fund Unit Veteran Michele Foldenauer Joins ACA Group to Co-Lead Tech-Enabled Mock Examination Team
ACA Group is excited to announce that Michele Foldenauer has joined ACA Group as a Managing Director and a leader of our tech-enabled Mock Examination Team.
News
- ACA News
- Compliance
- Private Fund