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

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FCA’s Proposals to Reform its MiFID Regime for Research and Best Execution

The FCA has issued a consultation paper outlining the first of its intended changes to "UK MiFID" conduct and organisational requirements. Learn more about the main proposals, the rationale behind them and the implications for investment firms

Compliance Alert
  • Compliance
  • Managed Services
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FCA Publishes Consultation Paper 21/7 – A New UK Prudential Regime for MiFID investment firms

Following the publication of the FCA's latest Investment Firm Prudential Regime (IFPR) proposals, we examine the impact on MiFID investment firms, including key highlights, considerations, requirements and deadlines.

Compliance Alert
  • Compliance
  • Managed Services
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Form PF Reminders for Advisors to Private Funds and Hedge Funds

We discuss why Form PF is so important, and share guidelines for meeting the SEC's filing requirements.

Article
  • SEC
  • Compliance
Compliance Alert

2021 Investment Management Compliance Testing Survey

ACA Group, the Investment Adviser Association, and Yuter Compliance Consulting invite you to participate in the 2021 Investment Management Compliance Testing Survey. This survey, now in its 16th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.

Survey
  • Compliance
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SEC Keeps ESG Momentum with Release of Risk Alert

On Friday, April 8, 2021, the SEC’s Division of Examinations issued a Risk Alert for ESG Investing, putting an exclamation point on ESG being a top priority for the Commission.

Compliance Alert
  • ESG
  • Compliance
  • SEC
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ESMA final report recommends expansion of transaction reporting regime to AIFMS and UCITS Management Companies

ESMA has published a final report assessing the functioning of the Transaction Reporting regime under Article 26 of the Markets in Financial Instruments Regulation (“MiFIR”). Among a number of proposed changes perhaps the most impactful is the recommendation that UCITS management companies and AIFMs that are providing one or more MiFID services (i.e., Collective Portfolio Management or ‘CPMI’ firms) should be subject to transaction reporting

Article
  • Trade & Transaction
  • Compliance

Events

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

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