Compliance Insights and Alerts

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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

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Choosing Your Path to Launch Your Firm into a New Region

While different financial markets offer significant opportunities, there are a number of things to consider before launching in a new jurisdiction.

Article
  • Compliance
  • FCA
  • SEC
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SEC Rule 13f-2: Are you ready for the January 2, 2025 deadline?

Institutional investment managers with significant short positions must adopt new monthly reporting practices to meet SEC requirements.

Article
  • Compliance
  • Regulatory Deadlines
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Best Practices for Capturing Employee Personal Trading Activity for SEC-Regulated Firms

In today's complex financial landscape, SEC-regulated firms face increased scrutiny around the monitoring and reporting of employees' personal trading activities.

Article
  • RegTech
  • ComplianceAlpha
  • Compliance
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SEC Charges Broker-Dealers with Filing Deficient Suspicious Activity Reports

The SEC recently fined broker-dealers for SARs filings that failed to meet regulatory requirements.

Compliance Alert
  • Compliance
  • SEC
  • AML and Financial Crime
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ACA/NSCP 2024 AI Benchmarking Survey Results

To help firms better understand and manage AI risks, ACA and the NSCP partnered to explore how financial firms are utilizing AI and what controls they are putting in place to manage risks inherent in the new technology.

Report
  • Compliance
  • Artificial Intelligence (AI)
Press release

Financial Services Firms Lag in AI Governance and Compliance Readiness, Survey Reveals

The 2024 AI Benchmarking Survey by ACA Aponix and NSCP reveals that, despite enthusiasm for AI, financial firms lack formal AI governance frameworks, testing protocols, and third-party oversight.

News
  • ACA News
  • Artificial Intelligence (AI)
  • Compliance
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Events

Navigating FINRA's New Branch Office Inspection Rules

Join us on Monday, December 16, 2024, at 11am ET when we will share practical insights into preparing for residential office classifications and planning remote and onsite inspections in 2025.

Webcast
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