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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Russell Investments Selects ACA Group’s ARRMA Service to Enhance Regulatory Reporting

Leading global investment solutions firm chooses ACA’s ARRMA (ACA Regulatory Reporting Monitoring & Assurance) service to help manage its MiFIR and EMIR transaction reporting arrangements.

Press Release
  • Compliance
  • Trade & Transaction
  • RegTech
summer regulatory update

Regulatory Update Summer 2022

This edition provides unique insights on regulatory developments for investment advisers, private fund managers, broker-dealers, dual-registrants, and mutual funds.

Article
  • SEC
  • Compliance
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SEC Announces Marketing Rule Compliance as Exam Priority

With the SEC's new Marketing Rule starting in just a few short weeks, the Division of Examinations has issued a Risk Alert sharing the top focus areas that exams will be focused on.

Article
  • SEC
  • SEC Marketing Rule
  • Compliance
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Interval Funds Basics

In this article, we break down the fundamentals of interval funds, discussing the core concepts behind these non-traditional mutual funds.

Article
  • Compliance
  • Distribution
Compliance Alert

FCA Releases Final Rules on the Use of Appointed Representatives

The FCA has issued final rules on the Appointed Representatives (“AR”) regime, aimed at protecting consumers. We examine the new expectations and what they mean.

Compliance Alert
  • Compliance
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FCA's Latest Dear CEO Letter: Is the Devil in the Detail?

The FCA's latest Dear CEO letter notes that recent events have caused them to reassess their supervisory priorities for the alternatives sector.

Compliance Alert
  • Compliance

Events

ACA's Outsourced Chief Compliance Officer: Is it right for me?

Join ACA Group’s Guy Talarico, John Vekich, and Craig Moreshead for a live discussion about the role of the Outsourced Chief Compliance Officer (OCCO) and how it can help your firm mitigate risks, while providing independent best practices from the leading GRC firm in the U.S.

Webcast