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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Custody Rule Violations and Inaccurate Form ADV Disclosures

The SEC is cracking down on Custody Rule violations, announcing recent charges against 9 advisory firms.

Compliance Alert
  • Compliance
  • SEC
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Implications of the SEC's Draft Strategic Plan

While the SEC’s draft Strategic Plan does not appear to indicate a directional shift, it does nod toward more aggressive enforcement. Learn how this affects your firm.

Compliance Alert
  • Compliance
  • Cybersecurity
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LTAF or Having a Laugh?

The FCA recently announced a proposal to broaden retail access to Long-Term Asset Fund (“LTAF”). But what is an LTAF? Does anyone actually want one? Or is this just a regulatory anagram for FLAT?

Article
  • Compliance
  • FCA
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The Ultimate Guide on the Fundamentals of ETFs

ACA Foreside spoke with panelists at WealthManagement.com's EDGE conference about the fundamentals of an ETF.

Article
  • Compliance
  • Distribution
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SEC’s Rule Proposals Seek to Reform the Private Fund Industry

The rules proposed by the SEC earlier this year revealed how the SEC’s examination and enforcement agenda is likely to unfold in the coming months and years, regardless of the ultimate outcome of those rules. Find out what your firm should be doing in light of these proposals.

Article
  • SEC
  • Compliance
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ESG Regulation: What Next?

With a surge in investor interest in ESG topics, as well as numerous firms attempting to set themselves apart from their peers through their commitments to issues like climate and sustainability, regulators have been busy working to establish consistency and transparency around ESG claims. What are the FCA's expectations from firms, and what are the anticipated challenges ahead?

Article
  • ESG
  • 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