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

Highways

The FCA’s 2022/23 Business Plan and Three-Year Strategy: Key Takeaways

Key takeaways from the FCA's recent three-year Strategy, setting out aims to improve outcomes for UK consumers and markets, as well as the FCA’s 2022/23 Business Plan, with actions to be taken by the FCA over the next twelve months.

Compliance Alert
  • Compliance
  • FCA
Cement Room

Compliance Challenges for Open-End Real Estate Vehicles

Understanding the key elements of operating an open-end real estate vehicle is pivotal to evaluating risks and implementing sufficient compliance oversight.

Article
  • Compliance
View of buildings looking up

The 2022 Investment Management Compliance Testing Survey is Now Open

The survey, now in its 17th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.

Survey
  • Compliance
Sea against rocks

A Drop of Clarity in the Regulatory Sea of Change

As we tentatively emerge into the post-pandemic world, the global financial industry has a myriad of regulatory hurdles to navigate. We provide guidance on key areas that firms will need to focus on in the coming months.

Article
  • Compliance
  • ESG
  • SEC Marketing Rule
abstract image with a lock and shield

SEC Increases The Size Of Their Crypto Assets and Cyber Unit

With new challenges and risks crypto poses to investors, the U.S. Securities and Exchange Commission endeavors to dedicate more resources to protect market participants from securities law violations related to crypto.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
  • Compliance
highway at night from overhead

Regulatory Technology Trends to Watch for in 2022

We’ve compiled the top technology-related trends, insights, and resources compliance leaders need to know to maintain an efficient and effective compliance program.

Article
  • RegTech
  • Compliance

Events

Compliance Induction - 28 June 2022

Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.

Online Training

Cyber Insurance: Preparing For the Market

Using proprietary data ACA collected over the past few months, our experts will explain the current state of the cyber insurance market, walk through how policies work, and provide key considerations for whether and how to obtain insurance.

Webcast

Money Laundering Reporting Officer: The Role and Responsibilities - 29 June 2022

The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

Online Training