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
Division of Examinations’ 2021 Exam Priorities for Registered Investment Companies
The SEC's Division of Examinations recently released their 2021 examination initiatives. This year, the Division singled out mutual funds and ETFs in its discussion.
Compliance Alert
- Compliance
- SEC
SEC Announces 2021 Examination Priorities
On March 3, 2021, the U.S. Securities and Exchange Commission’s Division of Examinations released their FY2021 Examination Priorities. The Priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. The 2021 Priorities reflect a significant shift and increased focus on climate and environmental, social, and governance (ESG) related risks and strategies.
Compliance Alert
- Compliance
- SEC
Five Reasons to Attend ACA Regulatory Horizon 2021 | Navigating Evolving Risks
There is just one week to go until Regulatory Horizon 2021 | Navigating Evolving Risks, our free-to-attend European based conference for financial services firms is running from 2-4 March. We outline five reasons why this event is worth adding to your calendar.
News
- Compliance
- Mirabella
- Cybersecurity
2021 Regulatory Reminders and Upcoming Deadlines for European firms
A summary of key tasks for compliance teams with a European presence along with a summary of FCA’s priorities during 2021, our analysis of key regulatory developments, and an outline of longer-term trends.
Article
- Compliance
- Brexit
- Cybersecurity
- RegTech
- Mirabella
- ESG
RiskMutation™: Spearheading the Operational Response to Evolving Business Risks Following COVID-19
Business disruption, cybersecurity challenges and greater compliance burdens are well acknowledged operational challenges facing hedge fund, private equity and investment management industries. We examine how COVID-19 has heralded sweeping changes to the way financial services firms operate.
Article
- Compliance
- RiskMutation
- BCP
- COVID-19
ESMA – Increased Focus on “MIFID II Reverse Solicitation” Rules Following the End of the UK Transition Period
A recent ESMA public statement reminds firms of MiFID II rules on “reverse solicitation”. We examine what this means for firms that provide investment services to retail and/or professional clients from locations outside of the European Union.
Compliance Alert
- 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