Compliance Insights and Alerts

Compliance teams are constantly challenged to keep pace with ever-evolving regulatory compliance news and 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 regulatory compliance trends, industry insights, risk alerts, and events.

Latest insights and alerts

New York City from above at twilight

ACA Group Expands U.S. Compliance Team with Former SEC and FINRA Regulators, In-House CCOs, Seasoned Regulatory Consultants, and Attorneys

We are committed to meeting the needs of our clients. This year, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry. Learn more about our team.

News
  • ACA News
  • Compliance
abstract black and white looking up at building

ACA Group Acquires Encore Compliance Adding AI Technology to Enhance Managed Services Capabilities

ACA Group Acquires Encore Compliance to Enhance Managed Services Capabilities with AI Technology. Acquisition enhances ACA’s technology solutions to support day-to-day compliance requirements and reduce risk

Press Release
  • ACA News
  • Managed Services
  • Compliance
  • Artificial Intelligence (AI)
black and white buildings from below

FINRA’s Latest Fee Schedule and Form BR Filing Updates for RSLs

On July 15, 2024, FINRA published an updated SRO/Jurisdiction Registration Fee Schedule that included a new column indicating which self-regulatory organizations (“SROs”) and jurisdictions recognized Residential Supervisor Locations (“RSLs”).

Compliance Alert
  • Compliance
  • FINRA
  • Regulatory Deadlines
cyber outage

CrowdStrike Outage and Options for Remediation

An automated update released by CrowdStrike overnight had a technical issue that caused Windows devices receiving the update to crash.

Cyber Alert
  • Cybersecurity
  • Compliance
London from above

Charting your European Expansion: Exploring Pathways to New Markets

Learn practical insights and actionable steps for U.S.-based firms contemplating building a presence in the UK or seeking to market to EU investors without a permanent presence.

Article
  • Compliance
  • FCA
  • Mirabella
SEC building

SEC Exam Sweep of T+1

We have reason to believe the SEC has begun its targeted examinations of investment advisers to assess their compliance with the T+1 transition.

Compliance Alert
  • Compliance
  • SEC

Events