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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June 2019 Broker-Dealer Newsletter

ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.

Newsletter
  • Compliance
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When is marketing not marketing? When it’s pre-marketing - Omnibus proposals bring fresh clarity from Europe

When the Alternative Investment Fund Managers Directive (“AIFMD”) came into force back in the heady days of 2013, it brought into the financial lexicon terms that are now well-worn phrases such as “

Compliance Alert
  • Compliance
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EMIR REFIT: What do I need to know?

The amended European Market Infrastructure Regulation (“EMIR REFIT” or simply “REFIT”) came into force on 17 June. It’s designed to simplify a derivatives regime currently seen as burdensome to some market participants, particularly those whose risk profile is unlikely to impact macro stability. In this note, we summarise the key reforms and give some pointers about what you need to think about.

Compliance Alert
  • Compliance
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SEC Approves Regulation Best Interest

On June 5, 2019, the SEC passed Regulation Best Interest (“Reg BI”). Broker-dealers will be required to act in the best interest of their retail customers when recommending any securities transaction or investment strategy. Here's what you need to know.

Compliance Alert
  • Compliance
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White Paper: 2019 Liquidity Risk Management Program Rule Survey Results

ACA Compliance Group is pleased to present their newest survey results in the form of a white paper, 2019 Liquidity Risk Management Program Rule Survey Results.

Report
  • Compliance
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Mirabella’s Response to the FCA’s review of principal firms in the investment sector

The FCA recently published the conclusions of its review of principal firms in the investment management sector. We examine the relevance of the findings and outline how the FCA rated Mirabella in the review.

Compliance Alert
  • Compliance
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Events

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
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