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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The UK Stewardship Code 2020: What’s changing and why it matters

From 1 January 2020, many UK fund managers and providers will be more responsible and accountable for financial management as well as environmental, social and governance ESG. We examine what these changes mean for firms.

Compliance Alert
  • Compliance
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Record fine issued for governance and control failings over regulatory reporting

Yesterday, the UK arm of a large international banking group was issued a record fine of £44 million for governance and control failings surrounding its capital adequacy and regulatory reporting. What lessons can firms learn from this enforcement?

Compliance Alert
  • Compliance
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To outsource or not to outsource, that is the question

Over-burdened Chief Compliance Officers and compliance teams that are stretched too thin are more likely to experience burnout and make mistakes, exposing firms to risk. We examine how outsourcing can help improve standards, reduce risk, create operational efficiencies and ultimately bring about cost savings.

Article
  • Compliance
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Best Practices for Implementing a Holistic Monitoring and Surveillance Program

Our latest white paper provides a deep dive on holistic surveillance, why it matters now, and what your firm needs to know to implement its own holistic surveillance program to proactively and effectively identify, prevent, and remediate potential misconduct across the organization.

Report
  • Compliance
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Navigating the SEC’s Interpretation Regarding an Investment Adviser’s Standard of Conduct

ACA Compliance Group's Greg Mekanik recently shared his insights with the Hedge Fund Law Report in a three-part series on the&nbs

Article
  • Compliance
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SEC extends no-action letter relief on MiFID II Research Payments until July 2023

The SEC has extended its no-action letter relief on MiFID II Research Payments until July 2023. We examine the longer-term implications of the Extension Letter and outline interesting points raised by the regulator.

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