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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ESG Examinations in Full Swing, and Most Advisers are Candidates

June 03, 2021

Following the SEC’s 2021 Examination Priorities, ESG examinations are in full swing, and most advisers are candidates. In this compliance alert, we outline what the regulator expects and what your next steps should be - whether you have ESG strategies or not.

Compliance Alert
  • ESG
  • SEC
  • Compliance
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ACA Group Boosts UK-based SEC Consulting Team

May 27, 2021

Martin Fawzy joins ACA’s dedicated team, offering SEC regulatory consulting for firms located outside of the U.S.

Press Release
  • Compliance
  • SEC
  • London
  • ACA News
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Peer Analysis: Understanding Today’s Compliance Risks and Solutions

May 26, 2021

Find out what financial firms have identified as three of the knottiest issues facing compliance teams this year, the top five compliance areas that could benefit from better technology, and the biggest hurdles to compliance technology adoption in our latest peer analysis infographic.

Article
  • Compliance
  • ComplianceAlpha
  • Brexit
  • Cybersecurity
  • Regulatory Technology
  • Managed Services
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GDPR: Expectations vs. Realities on the Regime’s Third Anniversary

May 25, 2021

The General Data Protection Regulation (GDPR) reached its third-year anniversary on 25 May 2021. Three years after implementation, we speak with Alex Scheinman, Managing Director, ACA Aponix, about the impact of the regulation, how the COVID-19 global pandemic, Brexit and Schrems II influence the regime, and where data privacy rules will head next.

Compliance Alert
  • Compliance
  • Cybersecurity

Exam Priorities Spotlight: Focus on Private Equity and Real Estate Advisers

May 20, 2021

How can private equity and real estate advisers best prepare for regulatory exams in 2021? While we provided an overview of the 2021 Examination Priorities of the U.S. Securities and Exchange Commission’s Division of Examinations, advisers should consider whether they are prepared to respond to inquiries in the following areas.

Compliance Alert
  • Compliance
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Brexit: What’s Next for Financial Services Firms?

May 19, 2021

The lack of significant Brexit rules currently governing financial services creates some confusion and challenges for firms. We've developed a free to download whitepaper that examines a range of scenarios for how firms with a UK- and EEA-based presence might structure their business in a post-Brexit world

Report
  • Brexit
  • Compliance
  • Mirabella

Events

Senior Management Obligations under the SM&CR - 11 August 2021

The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).

Online Training

Compliance Induction - 17 August 2021

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