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

curved glass building looking up at a blue sky

SEC Relief for Registered Investment Companies

The unprecedented coronavirus (COVID-19) pandemic has created many hardships that could make it difficult for registered investment companies (“funds”) to meet certain regulatory requirements.

Compliance Alert
  • Compliance
highway at night from overhead

Maintaining Information Security and Professionalism while Working from Home

These are unusual times. The coronavirus (COVID-19) pandemic has demanded new ways of human interaction, both in the business and personal worlds. This includes firms around the world directing a large number of employees to work from home.

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

CFTC and NFA Regulatory Relief for Commodity Pool Operators and Commodity Trading Advisors

Due to the ongoing COVID-19 pandemic, the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) have provided regulatory reporting and branch office relief for registered Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs).

Compliance Alert
  • Compliance
highway at night from overhead

Managing Compliance Resource Constraints Due to COVID-19

In the face of the COVID-19 pandemic, compliance teams may need to utilize remote outsourcing or the “managed services model” to provide a much needed extension of the compliance function. Turning to an outside firm, whether for staffing support, outsourced or co-sourced arrangements, or implementing smart technology can provide the resources your firm needs.

Article
  • Compliance
highway at night from overhead

7 Important Actions for Managing COVID-19 Pandemic-Related Change

A recent ACA webcast, Best Practices and Strategies for Managing Business Risks Due to COVID-19 Pandemic, explored the current regulatory landscape, best compliance practices for working from home, and strategies for mitigating emerging risks. Seven important actions that compliance teams should be taking today emerged from the discussion.

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

EU Short Selling Restrictions: A Further Update

In the latest of a series of short selling announcements, the Belgian, French, Italian and Spanish regulators have now revealed restrictions for each jurisdiction. We examine how this impacts on financial services firms.

Compliance Alert
  • Compliance
See more insights

Events

More Events