Compliance Insights and Alerts

Subscribe for more insights
  1. Insights
  2. 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

Blog IAA image

2020 Investment Management Compliance Testing Survey Results: BCP Related to COVID-19 Now Top Compliance Concern

From April 20 – May 31, ACA Compliance Group, Investment Adviser Association, and BrightSphere Investment Group ran the 15th annual Investment Management Compliance Testing Survey.

Survey
  • Compliance
  • BCP
  • COVID-19
curved glass building looking up at a blue sky

Q3 2020 Regulatory Reporting Deadlines

ACA Compliance Group has created a calendar to help you stay on track with your regulatory filings. Request our calendar to view key regulatory filing due dates and holidays at a glance.

Compliance Alert
  • Compliance
curved glass building looking up at a blue sky

Summary of FINRA Regulatory Actions in Q1 2020

The Financial Industry Regulatory Authority’s (“FINRA”) Enforcement Division brought 43 enforcement actions and levied fines against member firms that totaled $21,027,000‬‬ in the first quarter of 2

Compliance Alert
  • Compliance
curved glass building looking up at a blue sky

Extension of SM&CR Implementation Period for Solo-Regulated Firms

The FCA and Treasury have agreed to extend the deadline for FCA solo-regulated firms’ assessment of their Certified Staff as fit and proper by just over 100 days, to 31 March 2021. We examine what firms need to do to make sure they are compliant by the new deadline.

Compliance Alert
  • Compliance
curved glass building looking up at a blue sky

Sunak Calls the Shots: The FCA's New Boss and the UK's Agenda for Financial Services Regulation

Whilst lockdown restrictions start to ease and the green shoots of a post-pandemic world tentatively emerge, two notable developments have come out of the UK government this week. What do these indicate about the UK's financial services post-Brexit?

Compliance Alert
  • Compliance
curved glass building looking up at a blue sky

Compliance Deadline Approaching for Regulation Best Interest and Form CRS

The June 30th deadline to comply with Regulation Best Interest (Reg BI) and Form CRS is almost here. We’ve summarized the requirements of both to help broker-dealers and investment advisers confirm they are ready to comply.

Compliance Alert
  • Compliance
See more insights

Events

Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night

Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.

Webcast
More Events