Join ACA and AIMA for a discussion of the upcoming UK Investment Firm Prudential Regime
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.
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
December 04, 2017
With only 19 business days left in the year, the pressure is mounting to cross those final compliance to-do’s off the list and finish the year strong.
November 17, 2017
Have you fallen behind schedule with your compliance testing and surveillance? Need an extra hand to assist with your annual compliance review? With year-end clearly in sight, we are avail
November 09, 2017
In the five months since the SEC’s Office of Compliance Inspections and Examination (“OCIE”) issued request letters to registrants focused on advisers’ use of electronic communications, co
September 25, 2017
On September 14, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program Risk Alert related to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Advertising Rule”). The risk alert highlights the compliance issues most commonly noted by the SEC’s examination staff as part of a recent “Touting Initiative.” That initiative, which consisted of reviews of approximately 70 investment advisers, focused on the use of “accolades” in advertising.
August 14, 2017
Communications record keeping obligations which include phone taping, are likely to prove particularly challenging when it comes to the cost of compliance and complexity of systems requirements.
July 20, 2017
The electronic communication mediums that investment advisers use to conduct business continue to evolve, posing a challenge to the compliance community’s ability to retain and adequately supervise
Compliance is Easier Than You Think: Claiming Compliance with 2020 GIPS® Standards for Alternative Investment Managers
ACA recently released a white paper series that covers those details managers need to know to claim compliance with the 2020 Global Investment Performance Standards. Join ACA for a webcast discussion to review how to claim compliance.
The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).