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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FCA Provides AFMs Guidance and Warning on Authorised ESG and Sustainable Investment Funds

The FCA's recently issued a warning to AFMs firms to improve the quality and clarity of ESG/sustainable investment fund applications, providing guiding principles help funds comply with existing requirements. We outline what this means for firms.

Compliance Alert
  • ESG
  • Compliance

2021 Compliance Testing Survey: New SEC Marketing Rule Now Top Compliance Concern

Implementing the SEC’s new Marketing Rule for Investment Advisers is the number one worry for investment adviser compliance officers, according to the 2021 Investment Adviser Compliance Testing Survey. Advisory firms have until November 4, 2022 to come into full compliance with the rule.

Survey
  • Compliance
2021 Spring Virtual Conference

ACA’s Spring 2021 Virtual Conference: Key Takeaways and Trends

ACA’s Spring 2021 Virtual Conference was an opportunity for the regulatory compliance, performance, and cybersecurity community to come together and discuss the many changes of the past year and what the future of GRC looks like moving forward.

Article
  • Compliance
  • ComplianceAlpha
  • ESG
  • GIPS Standards
  • Regulatory Technology
  • Cybersecurity
  • Performance
  • Privacy
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SEC Sanctions Registered Investment Advisers and Broker-Dealers for Cybersecurity Failures

The SEC announced that it sanctioned eight firms for failure to establish and implement cybersecurity policies and procedures. These failures resulted in multiple instances of criminal email account takeovers causing personally identifiable information from thousands of customers and clients to be exposed.

Cyber Alert
  • Cybersecurity
  • Compliance
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What Investment Advisers Need to Know about the SEC's Recent Insider Trading Case Focused on "Shadow Trading"

The SEC recently charged a former employee of a biopharmaceutical company with "shadow trading", a form of insider trading. Learn more about this case, compliance implications, and our advice on what advisers can do to protect themselves.

Compliance Alert
  • ComplianceAlpha
  • Compliance
  • Trade Surveillance
  • Regulatory Technology
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August 2021 Broker-Dealer Newsletter

In our latest newsletter, we highlight important regulatory information for broker-dealers that occurred during Q1 and Q2.

Article
  • 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