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Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

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Insights and recommendations for maintaining compliance and operational resilience during the pandemic

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New Public Disclosure Obligations Under the IFPR: What, When and How?

On 26 November 2021, the FCA published its third and final Policy Statement, PS21/17, on the new Investment Firm Prudential Regime (IFPR), which subsequently came into force on 1 January 2022. The new prudential rules introduce more complex and onerous disclosure requirements for affected firms. Here we examine what these new obligations mean for MIFIDPRU firms.

Compliance Alert
  • Compliance
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SEC No-Action Letter Regarding Amended Rule 15c2-11

The SEC staff provided additional time for firms to comply with the amendments to Rule 15c2-11 in a no-action letter published in December, 2021.

Compliance Alert
  • Compliance
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FTC 'Safeguards Rule' Strengthens Data Security Requirements and Broadens the Scope of Financial Institutions Who Must Comply

FTC Amends Gramm-Leach-Bliley Act ‘Safeguards Rule’ to Strengthen the Data Security of Financial Institutions

Article
  • Cybersecurity
  • Cybersecurity Resources

FCA Confirms Changes to MiFID II Rules on Research Plus an End to RTS 28 Reports on Best Execution

The FCA published Policy Statement PS 21/20 on Changes to UK MiFID’s conduct and organisational requirements on 30 November 2021, confirming the FCA’s proposals as set out in Consultation Paper CP 21/9.

Compliance Alert
  • Compliance
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Q1 2022 Regulatory Reporting Deadlines

Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from January through March 2022.

Article
  • Compliance
  • Regulatory Technology
  • Regulatory Deadlines
Roads

ACA's Top 10 Articles of 2021

As we reflect on the past year, we wanted to take a moment to look back at our most popular articles from 2021.

Article
  • Compliance
  • Performance
  • Cybersecurity
  • AML and Financial Crime
  • Trade Surveillance
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ACA's Top 10 Webcasts of 2021

As 2021 winds down and we prepare for the new year, we thought we would take a moment to look back at our most popular webcast topics of 2021.

Article
  • Compliance
  • Performance
  • ESG
  • Cybersecurity
  • Regulatory Technology
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Key Takeaways from 1LoD’s Voice Surveillance Deep Dive Report 2021

With more employees working out of their homes, how can financial services firms best balance the demands of regulators with legal concerns like privacy and employment laws, all while building a culture of trust among employees? This was the topic of discussion at 1LoD’s 2021 Deep Dive forum on voice surveillance.

Report
  • Regulatory Technology
  • eComms Surveillance
  • Trade Surveillance
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The Changing Compliance Landscape for Venture Capital & Other Private Markets Fund Managers

Although many venture capital firms in the U.S. today are exempt reporting advisers (ERAs), scrutiny of these firms has increased.

Article
  • Compliance

2021: The Year in Review

As you look ahead to 2022, here are a few of 2021’s key regulatory and industry highlights that may impact how you prioritize year-end compliance tasks, allocate resources, and plan future initiatives.

Compliance Alert
  • Compliance