Compliance Insights and Alerts

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Compliance teams are constantly challenged to keep pace with ever-evolving regulatory 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 compliance trends, industry insights, risk alerts, and events.

Latest insights and alerts

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GDPR DDQ Now Available for Assessing Vendors' GDPR Compliance

ACA announces GDPR-specific due diligence questionnaire (DDQ) for vendors and third parties.

Press Release
  • Privacy
  • Compliance
  • Cybersecurity
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So You Survived Year-End Compliance Testing — But are You Ready for What’s Next?

Compliance professionals have had a busy year so far, but the tasks and testing will continue to increase.

Article
  • Compliance
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Due Diligence of Research Firms and Data Providers - What Investment Advisers Need to Know

Over the past several years, the SEC, through examinations and enforcement actions, has made it clear that it expects registered investment advisers to undertake meaningful due diligence of the

Compliance Alert
  • Compliance
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Takeaways from the SEC’s 2019 Fiscal Year Budget Request

On February 12, 2018, the U.S.

Compliance Alert
  • Compliance
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FCA’s Dear CEO letter targets improved prudential processes

For the first time in some years, the Financial Conduct Authority (FCA) has written to asset managers’ CEOs on prudential matters. The letter includes a plea by the FCA for data that it, and the EBA, can rely upon when aggregating firms’ submissions to understand the macro picture.

Article
  • Compliance
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How ACA’s Form PF Solutions Can Help Lighten the Load

The U.S. Securities and Exchange Commission’s ("SEC") Form PF presents many challenges for investment advisers, particularly those that have large data sets and multiple administrators.

Compliance Alert
  • Compliance
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Events

Wealth Management EDGE

Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.

Conference

2024 FINRA Annual Conference

Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.

Conference
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