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.
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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
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
CSSF Brexit preparations: Action required for AIFMs, MiFID firms and UCITS firms
The Luxembourg regulator, (the CSSF) has outlined provisions to allow for contract continuity of existing relationships established and serviced via passporting rights under various EU directives for 12 months. Application deadline is 15 September 2019. What does this mean for financial services firms?
Compliance Alert
- Compliance
Delivering on SM&CR – Do firms need to move faster?
Poll findings reveal that less than 2% of firms ready for the Senior Managers & Certification Regime, which comes into force in less than 100 days. It's clear that solo-regulated firms must accelerate the pace at which they are preparing for regulation ahead of 9 December implementation but is the work required ahead of the deadline being underestimated?
Survey
- Compliance
When it Comes to Compliance, is Ignorance Bliss or a Potential Liability?
With a raft of regulatory changes coming into force over the last few years, financial firms have incurred many system, process, policy and procedure changes. Overseeing and managing all of the moving pieces presents a challenge for compliance teams. How can Senior Management and Compliance Officers be confident that their governance, risk, and compliance framework is current, sufficiently comprehensive and ultimately effective to avoid regulatory scrutiny?
Article
- Compliance
FCA Raises Further Concerns on Access to Inside Information
Following the conviction of a former compliance officer of a major investment bank, the FCA raises concerns on the control of access to inside information. We examine the regulator's findings and recommendations, and what this means for financial services firms.
Compliance Alert
- Compliance