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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Transaction Reporting Errors Expose Huge Gaps for Market Abuse and Systemic Risk Monitoring

ACA Group research has detected more than 6 million transaction reporting errors across a sample of 30 review projects, averaging 200,000 errors per review, with 97% of reports under MiFIR/EMIR contain inaccuracies. These errors expose huge gaps for market abuse and systemic risk monitoring.

Press Release
  • Compliance
  • Trade & Transaction
  • ACA News
  • FCA
ACA

Hedge Fund Quarterly Update 2021 Q4

Learn more about recent regulatory developments industry insights in our Hedge Fund Quarterly Newsletter.

Newsletter
  • Compliance
  • SEC
Compliance Alert

SEC Proposes Amendments to Private Fund Reporting

On January 26, 2022, the SEC voted to propose amendments to Form PF. The Proposed Rule is designed to enhance the data aggregated through private fund reporting. In our most recent blog, we break down the potential impacts of the proposal and what your firm needs to know.

Compliance Alert
  • Compliance
ACA

Urgent Action Required: ESMA Clarifies Reporting of Short Positions Above New 0.1% Threshold

Ahead of the impending change to the European short selling reporting threshold from 0.2% to 0.1% on the 31 January 2022, ESMA has reminded firms on reporting positions of more than 0.1% held over the transition period. Learn more about the changes:

Compliance Alert
  • Compliance
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2022 Broker-Dealer Regulatory Filings Calendar

We've put together a printable calendar with key FINRA regulatory filing deadlines in addition to national holidays at a glance.

Article
  • Compliance
ACA

New Public Disclosure Obligations Under the IFPR: What, When and How?

On 26 November 2021, the FCA published its third and final Policy Statement, PS21/17, on the new Investment Firm Prudential Regime (IFPR), which subsequently came into force on 1 January 2022. The new prudential rules introduce more complex and onerous disclosure requirements for affected firms. Here we examine what these new obligations mean for MIFIDPRU firms.

Compliance Alert
  • Compliance
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Events

Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night

Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.

Webcast
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