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

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FINRA Provides Guidance on Succession Planning

FINRA has issued Regulatory Notice 22-23 to highlight the benefits of registered representative (RR) succession planning for customers, member firms, and the representatives themselves.

Article
  • Compliance
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FCA Fines UK Regulated Bank £1.5m for Poor Anti-Money Laundering Checks

The FCA recently fined a UK regulated bank £1.5 million for significant weakness in its financial crime systems and controls, having found serious shortcomings across the banks Anti-Money Laundering (AML) and Politically Exposed Persons (PEP) procedures.

Compliance Alert
  • FCA
  • Compliance
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FINRA’s Amendments to Continuing Education Take Effect January 1st

Beginning in 2023, all registered representatives will be required to complete their CE Regulatory Element training annually by the end of each year.

Compliance Alert
  • Compliance
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SEC Proposes New Outsourcing Regulation for Advisers

The proposed rule requires investment advisers to ensure that third-party service providers can do their job before, and periodically after, being hired.

Compliance Alert
  • Compliance
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ACA Regulatory Update - November Edition

This month, we highlight the SEC’s crackdown on unmonitored messaging apps, their latest rule proposal addressing due diligence on service providers, and more.

Newsletter
  • SEC
  • Compliance
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ACA Releases Enhanced Global Managed Services Solution Amidst Economic Maelstroms

ACA Group has announced its Managed Services as a comprehensive compliance offering to firms of all sizes around the world.

Press Release
  • Compliance
  • Managed Services
  • FCA
  • SEC
  • ACA News

Events