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.

Latest insights and alerts

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The SEC Targets Use of Predictive Data Analytics

Predictive data analytics can have a number of great uses in the financial industry. However, the SEC recently proposed rules to ensure advisers are not using it to harm investors.

Compliance Alert
  • Compliance
  • SEC
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The CFTC Cracks Down on Recordkeeping Failures

The CFTC recently issued an order against an introducing broker and a futures commission merchant for violations of recordkeeping and supervision requirements. However, this is just one instance in the CFTC's crackdown.

Compliance Alert
  • RegTech
  • Compliance
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U.S. Regulatory Update – October 2023

The SEC's rulemaking and enforcement activity continues unabated. This issue also covers FINRA's remote inspections request, and NASAA's Reg BI report.

Newsletter
  • Compliance
  • Private Fund
  • SEC
  • SEC Marketing Rule
  • FINRA
  • ComplianceAlpha
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ACA Group Launches New Solutions to Meet Full Scope of SEC’s Private Fund Adviser Rules

ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.

Press Release
  • ACA News
  • Private Fund
  • SEC
  • Compliance
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2024 SEC Examination Priorities: Remember the Essentials While Adapting to Change

The theme of this year's exam priorities is while compliance teams race to adapt to new and evolving regulatory requirements, they should not lose sight of compliance fundamentals.

Compliance Alert
  • SEC
  • Compliance
  • Performance
  • Cybersecurity
  • ESG
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The CFTC Proposes Changes to Regulation 4.7 (Registration Lite)

If passed, this rule proposal will bring significant changes to the most popular form of registration for commodity pool operators and commodity trading advisors.

Compliance Alert
  • Compliance

Events