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
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
FCA has concerns about investment firms’ personal account dealing controls
The FCA has published Market Watch 62, in which it expresses significant concerns about authorised firms’ systems and controls when it comes to Personal Account Dealing (“PAD”).
Compliance Alert
- Compliance
ACA Compliance Group Enhances Compliance Team with New Hires: Former CCOs, Attorneys, and Regulators
ACA has added several notable additions to the team to help us to continue to operate at the forefront of the compliance industry.
Press Release
- Compliance
Consultant's Corner Q&A: Preparing and Prioritizing for 2020
With less than three months of the year remaining, compliance professionals are feeling the pressure to cross off those final to-do’s for 2019 and build a strong foundation for 2020. To get firsthand insight on the challenges CCOs face, we sat down with one of ACA’s newest senior principal consultants and former CCO, Leigh Emery, to chat about the year-end obstacles, how to overcome them, and what trends to prepare for in 2020.
Article
- Compliance
ACA Compliance Group opens new office in Birmingham to expand European presence
ACA’s new Analysis and Review Centre provides a dedicated compliance resource hub to support financial service firms with their essential everyday regulatory responsibilities.
Press Release
- Managed Services
- Compliance
FINRA Releases Resources for Regulation Best Interest
On October 8, 2019, FINRA released a new Reg BI and Form CRS Checklist to help firms determine whether their supervisory systems are in compliance with Regulation Best Interest and the Form CRS Relationship Summary.
Compliance Alert
- 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