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

Fall in Central Park

U.S. Regulatory Update – October 2023

The SEC's rulemaking and enforcement activity continues unabated. This issue also covers FINRA's remote inspections request, and NASAA's Reg BI report.

Newsletter
  • Compliance
  • Private Fund
  • SEC
  • SEC Marketing Rule
  • FINRA
  • ComplianceAlpha
abstract black and white looking up at building

ACA Group Launches New Solutions to Meet Full Scope of SEC’s Private Fund Adviser Rules

ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.

Press Release
  • ACA News
  • Private Fund
  • SEC
  • Compliance
curved glass building looking up at a blue sky

2024 SEC Examination Priorities: Remember the Essentials While Adapting to Change

The theme of this year's exam priorities is while compliance teams race to adapt to new and evolving regulatory requirements, they should not lose sight of compliance fundamentals.

Compliance Alert
  • SEC
  • Compliance
  • Performance
  • Cybersecurity
  • ESG
curved glass building looking up at a blue sky

The CFTC Proposes Changes to Regulation 4.7 (Registration Lite)

If passed, this rule proposal will bring significant changes to the most popular form of registration for commodity pool operators and commodity trading advisors.

Compliance Alert
  • Compliance
December

FAQs: Top Questions Answered About the SEC's Private Fund Adviser Rules

Access a source for answers to common questions to help you better understand your obligations to meet the SEC's Private Fund Adviser Rules (IA-5955).

Article
  • Compliance
  • Performance
  • ComplianceAlpha
  • Private Fund
ACA Global

U.S. Regulatory Update – September 2023

Summer is over, and the SEC has a heavy rulemaking agenda for this fall, so hold on to your seats!

Article
  • SEC
  • Compliance
  • Broker-Dealer
  • Investment Adviser

Events