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

OCIE Publishes Marketing Risk Alert

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.

Compliance Alert
  • Compliance

MiFID II for Asset Managers: Communications Record Keeping

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.

Compliance Alert
  • Compliance

5 Ways to Meet Regulators' Expectations Regarding Electronic Communications

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

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  • Compliance
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New FINRA Rule 3210 - Accounts at Other Broker-Dealers and Financial Institutions

FINRA has received approval to update the requirement for disclosure and review of employee brokerage accounts. On April 13, 2016, the U.S. Securities and Exchange Commission (“SEC”) approved Financial Industry Regulatory Authority (“FINRA”) Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to replace current National Association of Securities Dealers (“NASD”) Rule 3050 (Transactions for or by Associated Persons). The effective date for this rule has not yet been determined.

Compliance Alert
  • Compliance

Events

Compliance Officer: The Roles and Responsibilities - 7 December 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

eComms Surveillance Solution Demo

Join ACA's Eddie Cogan as he conducts a deep dive demo of our machine learning based eComms Surveillance Technology solution (formerly Catelas).

Webcast