Compliance Insights and Alerts

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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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2022 Regulatory Headwinds: Potential Changes to Securities Laws and Regulations and the Impact on Private Fund Managers

We partnered with Willkie Farr & Gallagher LLP to explore several of the proposed SEC rulemakings that merit special attention for private funds.

Article
  • RegTech
  • Compliance
Regulatory Horizon 2022

Four Reasons to Attend Regulatory Horizon 2022 | Prepare for the Challenges of Tomorrow

On 8-10 March, we bring together a wealth of financial services industry experts at our virtual conference. Over 3 days and 10 sessions, they’ll examine a wide variety of governance risk and compliance hot topics and challenges. Learn more about why you should add this event to your calendar.

Article
  • Compliance
  • ComplianceAlpha
  • ESG
  • Cybersecurity
  • Cybersecurity Resources
  • Managed Services
  • FCA
  • SEC
  • SEC Marketing Rule
  • Regulatory Deadlines
Compliance Alert

SEC Proposes Sweeping Changes Affecting Private Fund Managers

On February 9, 2022, the SEC proposed five new rules as well as amendments to Rules 204-2 and 206(4)-7 under the Investment Advisers Act of 1940, as amended. According to the SEC, these proposals are designed to address "concerns that arise out of the opacity that is prevalent in the private fund structure."

Compliance Alert
  • Compliance
  • Private Fund
Roads

Lifting the Lid on the Systematic Trading: The Most Common Compliance Pitfalls

Navigating the matrix-like world of algorithmic trading is a complex task for compliance officers at SEC and FCA registered firms. Poor management results in adverse impacts for investors, losses or reputational damage. We reveal common compliance errors and provide guidance on how to rectify them.

Article
  • Compliance
Cement Room

Private Markets Quarterly Update 2021 Q4

Learn more about recent regulatory developments industry insights in our Private Markets Quarterly Newsletter.

Newsletter
  • Compliance
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NFA Announces Extension of Relief from On-site Branch Inspections

The NFA issued a Notice to Members on February 1, 2022, extending relief from performing on-site annual branch office inspections.

Compliance Alert
  • Compliance
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Events

Wealth Management EDGE

Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.

Conference

2024 FINRA Annual Conference

Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.

Conference
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