Compliance Insights and Alerts

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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

EU and UK Flags

Brexit: The Final Countdown - A Checklist for UK Investment Managers

With just days to go to the end of the transition period for the UK’s departure from the EU, we’ve developed a checklist of key considerations and activities that UK investment managers need to prepare.

Compliance Alert
  • Compliance
  • Brexit
highway at night from overhead

Hedge Fund Update: News You May Have Missed

In the second edition of ACA's Hedge Fund Update we cover recent industry news, regulatory updates, enforcement actions, and more.

Article
  • Compliance
highway at night from overhead

Making a List and Checking it Twice: Year-End Recap and Checklist for Compliance Officers

As you look ahead to 2021, take a look at a few of 2020’s key regulatory and industry highlights that may impact how you prioritize year-end compliance tasks, allocate resources, and plan future initiatives.

Article
  • Compliance
Compliance Alert

SEC Issues Risk Alert Identifying 6 Areas of Deficiencies in Investment Adviser Compliance Programs

The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on 11/19/20 providing an overview of notable compliance violations found during examinations relating to the Compliance Rule (Rule 206(4)-7 under the Investment Advisers Act of 1940). Here's what you need to know.

Compliance Alert
  • Compliance
  • BCP
  • Cybersecurity
highway at night from overhead

Hedge Fund Update: News You May Have Missed

In the first edition of our Hedge Fund Update we discuss recent industry news, settlements, and rulings. Read more to find out the latest news you may have missed.

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

UK Announces Delayed Implementation of its Reformed Prudential Regime

The implementation of the much anticipated and discussed Investment Firms Prudential Regime ("IFPR") has been delayed in the UK until 1 January 2022. We examine what this means for financial services firms.

Compliance Alert
  • Compliance
  • FCA
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Events

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