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

Graph image

FCA Confirms Dates for Cessation of Panel Submissions For All LIBOR Settings

With the FCA confirming dates for the cessation of panel submissions for LIBOR settings, the markets have received some much-needed clarity on fast-approaching deadlines around the transition away from LIBOR. We examine what firms must do next.

Compliance Alert
  • Compliance
Compliance Alert

FINRA Announces Its 2021 Risk Monitoring and Examinations Report

FINRA recently released its Risk Monitoring and Examination Activities Report, which provides guidance on FINRA’s current examination priorities and describes its examination findings during 2020.

Compliance Alert
  • Compliance
Compliance Alert

Division of Examinations’ 2021 Exam Priorities for Registered Investment Companies

The SEC's Division of Examinations recently released their 2021 examination initiatives. This year, the Division singled out mutual funds and ETFs in its discussion.

Compliance Alert
  • Compliance
  • SEC
Compliance Alert

SEC Announces 2021 Examination Priorities

On March 3, 2021, the U.S. Securities and Exchange Commission’s Division of Examinations released their FY2021 Examination Priorities. The Priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. The 2021 Priorities reflect a significant shift and increased focus on climate and environmental, social, and governance (ESG) related risks and strategies.

Compliance Alert
  • Compliance
  • SEC
Regulatory Horizon 2021

Five Reasons to Attend ACA Regulatory Horizon 2021 | Navigating Evolving Risks

There is just one week to go until Regulatory Horizon 2021 | Navigating Evolving Risks, our free-to-attend European based conference for financial services firms is running from 2-4 March. We outline five reasons why this event is worth adding to your calendar.

News
  • Compliance
  • Mirabella
  • Cybersecurity
London financial district skyscrapers looking upward

2021 Regulatory Reminders and Upcoming Deadlines for European firms

A summary of key tasks for compliance teams with a European presence along with a summary of FCA’s priorities during 2021, our analysis of key regulatory developments, and an outline of longer-term trends.

Article
  • Compliance
  • Brexit
  • Cybersecurity
  • RegTech
  • Mirabella
  • ESG

Events