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
How Will the Economic Downturn Impact Compliance Teams?
We examine how 2022's economic downturn impacted compliance companies, and explore how changing market conditions can create opportunities for new efficiencies.
Article
- Compliance
- Managed Services
U.S. Regulatory Update – January 2023 Edition
We discuss the latest Risk Alert from the SEC’s Division of Examinations, the DOL’s change of heart on ESG for plan investments, and the SEC’s rule proposals to change the equity markets.
Newsletter
- Compliance
- ESG
Why Building and Maintaining Robust Compliance Programs Has Become Increasingly Important for ERAs
As fiduciaries become increasingly subject to SEC inspection, ERAs should consider adopting compliance policies and procedures relevant to their operations to mitigate regulatory risks.
Article
- Compliance
- SEC
Updated FAQ About the SEC Marketing Rule Performance Requirements
The SEC released an updated FAQ on January 11, 2023 clarifying requirements around gross and net performance obligations for one investment or a group of investments (i.e., extracted performance).
Compliance Alert
- Compliance
- Performance
- SEC Marketing Rule
- SEC
Q1 2023 Regulatory Reporting Deadlines
Investment advisers must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from January through March 2023.
Article
- Regulatory Deadlines
- Compliance
ACA's Top White Papers of 2022
We wanted to take a moment to look back at our most popular white papers of 2022 and the advice they provide for financial firms.
Article
- Compliance
- Cybersecurity
- Managed Services
- ESG
- RegTech
- ComplianceAlpha
- Performance