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
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 Maintenance Margin Requirements Become Effective May 22, 2024
FINRA’s amendments to Rule 4210 requires members to collect margin for each counterparty's excess mark or market loss related to covered agency transactions.
Compliance Alert
- Compliance
- FINRA
Ten Advantages of Pursuing FCA Authorisation
We outline ten reasons why seeking FCA authorisation can bring benefits beyond compliance, including enhanced credibility, market access, investor confidence, and long-term sustainability.
Article
- FCA
- Compliance
SEC Examinations Division to Evaluate Firms’ Readiness for T+1
The SEC Examinations Division issued a risk alert reminding broker-dealers, clearing agencies, and investment advisers of their new obligations in connection with the transition to T+1 settlement of certain securities transactions.
Compliance Alert
- Compliance
- SEC
The FTC Safeguards Rule Amendments Becomes Effective May 13, 2024
Beginning May 13, 2024, amendments to the "Safeguards Rule” will require subject firms to report “notification events” to the FTC as soon as possible.
Article
- Compliance
Bundled Research Payments – Is It Really New, or Just Déjà Vu?
The FCA published Consultation Paper CP 24/7 introducing “payment optionality” for investment research.
Compliance Alert
- Compliance
- FCA
2024 Investment Management Compliance Testing Survey Now Open
This survey, now in its 19th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.
Survey
- Compliance