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
More work to be done by firms around MiFID II unbundling practices, says UK FCA
Despite being pleased with progress so far around Research Unbundling, the FCA says it's a work in progress. The regulator will conduct another review in 18-24 months. What must firms consider to ensure their approach to research payments meets regulatory expectations?
Compliance Alert
- Compliance
SEC Adopts ETF Rule
On September 25, 2019, the Securities and Exchange Commission (the “SEC”) adopted new Rule 6c-11 under the Investment Company Act of 1940 (the “IC Act”) requiring certain exchange-traded funds (“ETFs”) to operate without exemptive relief if they satisfy conditions designed to promote investor protection.
Compliance Alert
- Compliance
SEC Guidance on Investment Adviser Proxy Voting Responsibilities
On August 21, 2019, the U.S.
Compliance Alert
- Compliance
ACA Compliance Group Launches Holistic Surveillance Solution for Financial Services Firms
ACA’s holistic surveillance solution brings together ACA’s established surveillance services and technology solutions in a comprehensive package designed to help firms meet the surveillance expectations of regulators as well as to replicate their technological capabilities.
Press Release
- Trade Surveillance
- Compliance
- RegTech
- ComplianceAlpha
Five Key Takeaways from ACA’s Boston Hedge Fund Briefing
ACA’s Hedge Fund Practice hosted a breakfast event in Boston with local CCOs, with a fireside chat with senior staff from the Securities Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) and Division of Enforcement. The SEC staff discussed priorities pursued by OCIE and Enforcement, the SEC’s use of data analytics, challenges related to deficiencies (or a lack there of) stemming from exams, and expectations around firm’s trade surveillance policies, procedures, and practices. Read our key takeaways.
Article
- Compliance
Returning from summer holidays – A prudential year-end “to do” list
Leaving annual review prudential regulatory preparations until December creates a last-minute crush of work, and may result in key areas being overlooked. We discuss the importance of reviewing and refreshing prudential programmes in a timely manner
Article
- Compliance
- FCA
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