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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A Spotlight on the United Nations Climate Change conference, COP26

This year, heads of state, climate experts and campaigners will meet at the 26th United Nations Climate Change conference (COP26) to agree coordinated action to tackle climate change, but which developments are likely to be most important from the perspective of the financial services industry? And what does all this mean for firms in the future?

Article
  • ESG
  • Compliance
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Post-Brexit FAQs - FCA Authorisation and Compliance for EEA Firms in the TPR

The FCA is now offering firms that signed up to the Temporary Permissions Regime a “landing slot” to apply for full authorisation. Firms that miss their slot risk losing their temporary permissions completely. Read our FAQ's to learn more about your requirements.

Compliance Alert
  • Brexit
  • FCA
  • Compliance
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Q3 2021 Regulatory Reporting Deadlines

Regulatory filing submission deadlines for the SEC, CFTC/NFA, and ESMA occurring from July through September 2021

Article
  • Compliance
  • Regulatory Deadlines
  • Regulatory Technology
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EU Cross Border Fund Distribution Directive and Regulation - Raises More Questions than it Answers?

Marketing rules have traditionally taken a jurisdictional rather than EU wide harmonious approach. With new cross border distribution rules coming into play on 2 August 2021, we examine the impact on AIFs and UCITS funds.

Compliance Alert
  • Compliance
  • ComplianceAlpha
  • Brexit
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Majority of Firms in Breach of Transaction Reporting Requirements

Data from a Freedom of Information Request to the FCA has revealed that firms are either transaction reporting incorrectly or not adhering to the MiFIR requirement to monitor their reporting using submission data made available to them by the FCA.

Press Release
  • Compliance
  • Trade & Transaction
  • ACA News
  • FCA
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CFA Institute Releases ESG Disclosure Standards for Investment Products

Following the release of the CFA Institute's Exposure Draft of ESG Disclosure Standards for Investment Products, we outline what the standards include, the related timelines, and what these changes mean for firms.

Compliance Alert
  • ESG
  • Performance
  • Compliance
  • GIPS Standards

Events

Common Practices for GIPS® Compliance

ACA has gathered all the common best practices of performance teams complying to the GIPS standards and will discuss the most common question we receive from clients, "What do other firms do?"

Webcast

Compliance Officer: The Roles and Responsibilities - 21 October 2021

The role of the Compliance Officer is a mandatory position in all firms in the Financial Services Industry. They play a major role in assisting Senior Management to ensure that appropriate and effective systems and controls are in place to achieve and maintain compliance with the applicable Rules. While the nature of the Compliance Function is likely to differ from one firm to another, this course provides an easy to follow breakdown of what the Regulator expects of a Compliance Officer and explains, in practical terms how the regulatory expectations and those of Senior Management can be achieved.

Online Training