Compliance Insights and Alerts
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
FINRA’s Latest Fee Schedule and Form BR Filing Updates for RSLs
On July 15, 2024, FINRA published an updated SRO/Jurisdiction Registration Fee Schedule that included a new column indicating which self-regulatory organizations (“SROs”) and jurisdictions recognized Residential Supervisor Locations (“RSLs”).
Compliance Alert
- Compliance
- FINRA
CrowdStrike Outage and Options for Remediation
An automated update released by CrowdStrike overnight had a technical issue that caused Windows devices receiving the update to crash.
Cyber Alert
- Cybersecurity
- Compliance
Charting your European Expansion: Exploring Pathways to New Markets
Learn practical insights and actionable steps for U.S.-based firms contemplating building a presence in the UK or seeking to market to EU investors without a permanent presence.
Article
- Compliance
- FCA
- Mirabella
SEC Exam Sweep of T+1
We have reason to believe the SEC has begun its targeted examinations of investment advisers to assess their compliance with the T+1 transition.
Compliance Alert
- Compliance
- SEC
Advisers’ Concerns of Off-Channel Communications Surpasses the Marketing Rule as Top Compliance Concern, Survey Reveals
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey.
Press Release
- ACA News
- Compliance
Navigating the Future of Data Governance: Insights from ACA on Nasdaq TradeTalks
Carlo di Florio, Global Advisory Leader at ACA Group, recently joined a panel for Nasdaq TradeTalks to share his expertise on the critical role of data governance in the financial services industry.
Article
- Artificial Intelligence (AI)
- Compliance
- Cybersecurity