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.
FINRA has established streamlined reporting requirements for RSLs through Form U4.
The DOL was stalled in its most recent attempt to re-define an investment advice fiduciary under ERISA.
Helping asset managers select and work with an intermediary.
ACA Group is excited to announce that Michele Foldenauer has joined ACA Group as a Managing Director and a leader of our tech-enabled Mock Examination Team.
Amendments to Form N-PORT will both increase the frequency of reporting and compress the reporting schedule for funds to report detailed information about their portfolio holdings.
Investment adviser registration in the U.S. can be a long and arduous process. Download our guide to understand the process.
Join ACA Aponix’s cybersecurity experts Greg Slayton and Aaron Pinnick for our annual discussion of some of the most interesting and impactful cybersecurity breaches and incidents that occurred in 2024.
We'll explain how the decision to outsource GRC services is no longer just a win for the Chief Compliance Officer – it offers a solution that can deliver substantial value across the entire C-suite and enterprise.