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
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
White Paper: Top 10 Risk and Compliance Challenges for 2020 and Beyond
ACA’s top 10 risk and compliance challenges for 2020 and beyond white paper underscore both the complexity of the challenges that risk and compliance teams are facing, as well as the need to evolve the compliance function to adopt a fresh approach.
Report
- Compliance
Managing Expanding Compliance Expectations With Limited Resources
While risks, regulatory expectations, and the volume of compliance team tasks are all increasing, the skilled resources CCOs need to keep up with this demand may be difficult to obtain. We have enhanced our support options to meet these growing and evolving needs.
Article
- Compliance
Summary of FINRA's Regulatory Actions in 2019
FINRA's Enforcement Division brought 108 enforcement actions and levied fines against member firms that totaled $57,981,625 in 2019. These numbers mark a significant decrease in the enforcement actions and total fines from 2018.
Compliance Alert
- Compliance
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
Events
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