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.

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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

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IFPR is Just 100 Days Away: Are You Ready?

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

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

Learn more about recent regulatory developments industry insights in our Hedge Fund Quarterly Newsletter.

Article
  • Compliance
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Private Markets Quarterly Update 2021 Q3

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

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

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

Common Practices for GIPS® Compliance

ACA has gathered all the common best practices of performance teams complying to the GIPS standards and will discuss the most common question we receive from clients, "What do other firms do?"

Webcast

Compliance Officer: The Roles and Responsibilities - 21 October 2021

The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.

Online Training