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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Q4 2020 Regulatory Reporting Deadlines

Investment advisers must meet various regulatory filings requirements throughout the year. Below are the regulatory filing submission deadlines for the fourth quarter of 2020.

Compliance Alert
  • Compliance
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Compliance Testing Action Plan (Downloadable Guide)

We’ve entered the fourth quarter and we understand that many firms are in a pinch to get their testing completed. To help you get started, we’ve developed an action plan to guide you through the key questions to ask as you get started on your existing testing plan or developing one.

Article
  • Compliance
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SEC No-Action Letter: ATS Role in the Settlement of Digital Asset Security

The SEC’s Division of Trading and Markets issued a no-action letter to FINRA on September 25, 2020 confirming that the SEC staff would not recommend an enforcement action against broker-dealers trading digital asset securities that followed a three-step process.

Compliance Alert
  • Compliance
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MAR Review: ESMA Publishes Report on Reforms to Market Abuse Regime

The European Securities and Markets Authority (“ESMA”) recently published its Review Report on reforms to the Market Abuse Regulation (“MAR”). We outline the focus points and key amendments, what this means for firms and the post-Brexit impact.

Compliance Alert
  • Compliance
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CFTC Approves Final Rule Amending Form CPO-PQR

On October 6, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved a final rule (the Fi

Compliance Alert
  • Compliance
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RiskMutation™ Drives Firms to Seek Enhanced Solutions for Managing Rapidly Evolving Risk and Compliance Challenges

RiskMutation is accelerating the need for financial services firms to modernize and rethink their risk and compliance operating models through the adoption of enhanced solutions and trusted third parties.

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  • Compliance
  • RiskMutation

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