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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Impact of Proposed Regulations on Real Estate Advisers

The SEC staff under Chair Gary Gensler have been busy developing a raft of proposed new rules that could have big implications for real estate advisers, in particular those that are vertically integrated.

Compliance Alert
  • Compliance
ACA

SEC Chairman Highlights Continued Scrutiny of SPACs

The SEC Chairman laid out strong signals in December 2021 that he will push for tougher rules on SPACs.

Article
  • Compliance
highway at night from overhead

Transaction Reporting: A Common Good, Commonly Wrong

Startling findings have detected that most firms are struggling with their transaction reporting obligations under MiFIR / EMIR. Results reveal more than 6M transaction reporting errors identified across a sample of 30 review projects, averaging 200,000 errors per review. This means that regulators are not receiving the data they need to successfully identify market abuse and systemic risk.

Article
  • Compliance
  • FCA
  • Trade & Transaction
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NFA Revises Key Financial Balances for Pool Financial Statements Filing for CPOs

The NFA has recently made changes to the annual pool financial statements filings required for all registered CPOs that operated a commodity pool in 2021.

Compliance Alert
  • Compliance
curved glass building looking up at a blue sky

UK Authorities Reboot Financial Promotions Rules, Including Cryptoassets

Both the UK's HM Treasury and Financial Conduct Authority have taken aim at the perceived weaknesses of financial promotions, including cryptoassets. With this increasing focus on marketing and advertising rules, we outline measures that firms should take note of, and provide next steps for reviewing arrangements and strategies.

Compliance Alert
  • FCA
  • Compliance
Cement Room

SEC Signals Desire for Reevaluation of Private Markets Regulation

Public remarks show that growth of the private markets industry is spurring interest by SEC senior staff. What does this mean?

Article
  • Compliance

Events

Compliance Induction - 28 June 2022

Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.

Online Training

Cyber Insurance: Preparing For the Market

Using proprietary data ACA collected over the past few months, our experts will explain the current state of the cyber insurance market, walk through how policies work, and provide key considerations for whether and how to obtain insurance.

Webcast

Money Laundering Reporting Officer: The Role and Responsibilities - 29 June 2022

The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

Online Training