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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SEC Registration Freeze Has Been Lifted For UK-Based Firms

Indications are that the SEC has begun to approve pending registrations of UK-based advisers wishing to do business in the U.S or to attract U.S. investors. We outline what this means for firms.

Compliance Alert
  • Compliance
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UPDATE: FCA Announces Last-Minute Extension of MiFID 10% Depreciation Reporting in the UK

The FCA have issued a last-minute statement declaring a further six-month extension and subsequent amendments to the Covid-19 measure brought into effect in March 2020. As a result, the MiFID 10% Depreciation Regime has now been extended to 30 March 2021.

Compliance Alert
  • Compliance
  • FCA
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MiFID 10% Depreciation Rule: The End of the FCA’s Flexible Approach is Nigh

The FCA has announced a last-minute extension of MiFID 10% Depreciation Reporting in the UK. The Covid-19 measure is now in force until 30 March 2020.

Compliance Alert
  • Compliance
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SEC Announces Settlement with Broker-Dealer for Failure to Retain Text Messages

The SEC found that the broker-dealer's failure to retain the text messages was in direct violation of Section 17(a) of the Securities Exchange Act of 1934 and Rule 17a-4(b)(4) thereunder, which requires firms to preserve original copies of certain business-related communications sent or received for three years.

Compliance Alert
  • Compliance
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The Future of Risk and Compliance in the Age of RiskMutation™

Find out what RiskMutation™ is and why it's accelerating the modernization of risk and compliance management.

Article
  • Compliance
  • RiskMutation
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FCA confirms re-opening of the Temporary Permissions Regime – Brexit planning for European Asset Managers

The FCA recently confirmed the re-opening of the Temporary Permissions Regime (TPR). This provides a short-term Brexit opportunity for EEA based Asset Managers to operate within the UK post 31 December 2020. Our TPR Q&A examines what this means for firms.

Compliance Alert
  • 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