Key Findings from the ACA and NSCP 2024 Cybersecurity Program Benchmarking Survey
We will share valuable insights from our biannual Cybersecurity Benchmarking Survey in partnership with NSCP.
Webcast
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
OCIE 2020 Examinations Priorities Letter for Broker-Dealers
On January 7, 2020, the Securities and Exchange Commission's ("SEC’s") Office of Compliance Inspections and Examinations (the “OCIE”) released its
Compliance Alert
- Compliance
SFTR Reporting – Non-EU AIFs Out of Scope
The European Securities Market Authority ("ESMA") and the European Commission have today confirmed that non-EU Alternative Investment Funds ("AIFs") (i.e. AIFs not established in the EU) will not be subject to Securities Financing Transaction Regulation ("SFTR") reporting obligations.
Compliance Alert
- Compliance
First Test of Liquidity Risk Management
The recent last minute extension of the Chinese Lunar New Year market closure proved to be troublesome for some mutual funds and ETFs compliance with the Liquidity Risk Management Program. We outline how to prepare for such unexpected changes.
Article
- Compliance
FINRA 2020 Risk Monitoring and Examination Priorities
On January 8, 2020, FINRA released its Risk Monitoring and Examination Priorities Letter for 2020. While noting that the letter’s format had been changed to concentrate more on new risk areas, FINRA stated that it would continue to examine the areas of concern on which it repeatedly focused in previous years.
Compliance Alert
- Compliance
Regulatory Update for CPOs and CTAs
2019 brought significant regulatory developments for registered Commodity Pool Operators (“CPOs”) and Commodity Trading Advisors (“CTAs”). Review these notices from 2019 as you plan your 2020 compliance program.
Compliance Alert
- Compliance
FCA Announces New Supervision Strategy for Investment Managers
Last week, the FCA sent a Dear CEO letter outlining its refocused supervisory strategy for their firms. Find out what this means for asset management and alternative fund firms.
Compliance Alert
- Compliance
Events
Chicago Compliance Officer Roundtable: Hot Topics for Investment Advisers
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
Conference
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