Compliance Insights and Alerts

Compliance teams are constantly challenged to keep pace with ever-evolving regulatory 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 compliance trends, industry insights, risk alerts, and events.

Latest insights and alerts

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ACA’s Top 10 Blog Posts of 2020 So Far

As summer winds down and we gear up for a busy fall we thought we’d take a moment to look back at the most popular ACA articles so far this year.

Article
  • Compliance
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FCA Reminds Firms of their New Conduct Rules Reporting Obligations under SM&CR

The FCA recently added a webpage reminding solo-regulated firms of their obligation to report breaches of its conduct rules (and ensuing disciplinary action) as required under the Senior Managers and Certification Regime (SM&CR).

Compliance Alert
  • Compliance
city skyline from above

Public, Private or ‘Private Private’: Do you have the right information barriers?

Throughout the lockdown, the FCA and SEC have voiced thier expectation that private information is handled appropriately and that firms maintain adequate and appropriate information barriers. Firms should revisit what is considered “private” information and how that can get a little grey and nuanced in the private markets sector.

Report
  • Compliance
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New Guidance for Characterizing Certain Broker-Dealers Under the SEC’s Customer Protection Rule

The SEC and FINRA issued updated guidance on the characterization of U.S. broker-dealers under the Customer Protection Rule. This new guidance states that Non-Covered Firms that solely engage in Non-Covered Firm activities are no longer subject to any Rule 15c3-3 requirements.

Compliance Alert
  • Compliance
Compliance Alert

SEC OCIE Issues Risk Alert on COVID-19-Related Compliance Risks and Issues

The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has issued a risk alert on the COVID-19-related risks, issues, and challenges faced by SEC-registered investment advisers and broker-dealers, including those resulting from the widespread use of telecommuting practices and pandemic-related market volatility.

Compliance Alert
  • Compliance
  • BCP
  • COVID-19
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FINRA Guidance for Retail Communications Concerning Private Placement Offerings

FINRA issued Regulatory Notice 20-21 on July 1, 2020 providing guidance for complying with FINRA Rule 2210 “when creating, reviewing, approving, distributing, or using” retail communications concerning private placement offerings.

Compliance Alert
  • Compliance

Events