The UK Investment Firm Prudential Regime – Implementation and challenges of new rules
Join ACA and AIMA for a discussion of the upcoming UK Investment Firm Prudential Regime
Webcast
Compliance Insights and Alerts
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.
Report
Key Trends and Forces Shaping Risk and Compliance Management in 2021
2020 saw interrelated shifts and changes on a scale not seen since The Great Depression: global economic turmoil, supply chain disruptions, and increased cyber and regulatory threats, among others. At ACA, we call this phenomenon RiskMutation™.
In this report, ACA's Carlo di Florio analyzes the financial industry trends and broader forces impacting risk and compliance management in 2021. The report also explores the concerns, pain points, and focus areas of risk and compliance leaders from hundreds of firms polled by ACA.
Download the report to learn what you need to know to stay ahead of the curve and successfully navigate RiskMutation as it happens.
Latest insights and alerts
IFPR is Just 100 Days Away: Are You Ready?
September 23, 2021
There are just 100 days until the Investment Firm Prudential Regime #IFPR comes into force. Are you ready? We've created a checklist capturing 13 considerations for successful implementation of the required changes ahead of the 1 Jan 2022 deadline.
Compliance Alert
- Compliance
- Managed Services
NFA Announces Amendments to Interpretive Notice 9002 Regarding Branch Office Registration
September 21, 2021
On September 16, 2021, the National Futures Association (“NFA”) issued a Notice to Members I-21-28 regarding changes to the definition of a branch office under NFA Interpretive Notice 9002. The rule was a response from the NFA in the recent trend in hybrid work environments as more employees are working from their homes.
Compliance Alert
- Compliance
Hedge Fund Quarterly Update 2021 Q3
September 17, 2021
Learn more about recent regulatory developments industry insights in our Hedge Fund Quarterly Newsletter.
Article
- Compliance
Private Markets Quarterly Update 2021 Q3
September 16, 2021
Learn more about recent regulatory developments industry insights in our Private Markets Quarterly Newsletter.
Article
- Compliance
ACA Group and the Investment Adviser Association Announce Strategic Partnership
September 09, 2021
ACA Group (ACA), a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions, today announced that it has entered into a strategic partnership with the Investment Adviser Association (IAA), a leading organization dedicated to advancing the interests of investment advisers.
Press Release
- Compliance
ACA’s Inaugural Compliance Technology Benchmarking Survey is Now Open
September 07, 2021
This survey, sponsored by ACA’s Compliance Leaders Network (C-LEAD), will assess how compliance executives are using traditional and emerging compliance technology to better identify risk and create efficiencies within the compliance program. The results of this survey will provide participants with a deeper understanding of how their peers are maximizing the value of their technology spend.
Survey
- Compliance
Events
Compliance is Easier Than You Think: Claiming Compliance with 2020 GIPS® Standards for Alternative Investment Managers
ACA recently released a white paper series that covers those details managers need to know to claim compliance with the 2020 Global Investment Performance Standards. Join ACA for a webcast discussion to review how to claim compliance.
Webcast
Senior Management Obligations under the SM&CR - 30 September 2021
The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).
Online Training