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

ACA Group Continues to Enhance Compliance Team with New Hires: Former CCOs, Examiners, and General Counsels

ACA has recently welcomed several new members to our investment adviser practice, all of whom bring years of experience and skills to the team. These additions help us accommodate the developing regulatory landscape and meet our client’s specific needs.

Press Release
  • Compliance

Compliance Annual Testing Mandate: Tactics and Considerations

As we look toward a new year, it is important to start developing a testing plan that fits the specific needs of your firm. Given the unpredictability of 2020 and 2021, deciding your compliance testing schedule for 2022 requires exceptional preparedness.

Article
  • Compliance

Preparing for 2022: Compliance Budget Considerations, Priorities, and Helpful Tips

As we enter the second half of 2021, it’s time to start preparing for 2022 and establishing a compliance budget for the upcoming year. To help firms planning for their 2022 fiscal year budget, or those adjusting spend to tackle new initiatives, get started, we have gathered from compliance professionals tips that will explain the foundational needs of a compliance budget, how that looks in action, and how to prepare for the unexpected.

Article
  • Compliance
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FCA Publishes Consultation on Climate-Related Financial Disclosure

Ahead of COP26 in November 2021, the FCA has published consultation paper (CP 21/17) on the implementation of mandatory TCFD disclosures. For many firms, data gathering requirements start from 1 January. We outline the considerations for firms in scope.

Compliance Alert
  • ESG
  • Compliance
  • FCA
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Peer Analysis Infographic | MIFIR Transaction Reporting: Perception vs. Reality

When it comes to MiFIR Transaction reporting how confident are you? Or more importantly, how confident should you be? Our peer analysis infographic reveals worrying results that suggest that most firms still have a long way to go

Article
  • Compliance
  • Trade & Transaction
  • Managed Services
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How Does Recent Guidance on Principal and Cross Trades Apply to Real Estate and Private Equity Advisers?

On July 21, 2021, the Division of Examinations released the "Cross Trade Risk Alert". Although this risk alert is focused on fixed income investments, what can real estate and private equity managers, including those that do not invest in fixed income instruments, learn from this risk alert and other SEC staff activities related to principal and cross trades?

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