Compliance Insights and Alerts

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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

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SEC Proposes Expansive Changes to Marketing and Advertising Rules

In an effort to ensure that the regulations applying to investment advisers remain relevant in the digital age, the staff of the SEC announced significant changes to the rules and guidance surrounding the marketing and advertising activities of registered investment advisers and the engagement of solicitors. Read our compliance alert to learn more.

Compliance Alert
  • Compliance
  • SEC Marketing Rule
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ACA Compliance Group Enters into Strategic Partnership with AMG

ACA has entered into a strategic partnership with Affiliated Managers Group, Inc. (NYSE: AMG), a global asset management company with equity investments in leading boutique investment management firms. Through the partnership, ACA will make available to AMG and its Affiliates ACA’s top-tier advisory consulting services and technology solutions across a variety of focus areas including regulatory compliance, performance, cybersecurity, and anti-money laundering.

Press Release
  • Compliance
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SEC Division of Enforcement Publishes 2019 Annual Report

Read our summary of notable findings from the SEC Enforcement Division's Annual Report covering FY 2019.

Compliance Alert
  • Compliance
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The 2020 U.S. Election is Here: How is Your Firm Monitoring Political Contributions and Government Relationships?

A heightened political climate increases political contributions and political activities that can violate pay-to-play rules and generate fines or even prohibit future business. Now is the time to review your firm's policies and procedures for monitoring employees' political contributions and government relationships.

Article
  • Compliance
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FINRA Publishes 2019 Examination Findings Report

On October 16, 2019, FINRA published its 2019 Report on Examination Findings and Observations. The Report lists FINRA’s examination findings and observations for the current year.

Compliance Alert
  • Compliance
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FINRA to Review Members for Regulation Best Interest Preparedness

Last week, William St. Louis, FINRA Senior Vice President and Regional Director, stated at the SIFMA C&L New York Regional Seminar that the regulator would begin reviewing firms in November to assess their Regulation Best Interest compliance readiness. Reg BI becomes effective on June 30, 2020.

Compliance Alert
  • Compliance
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