Key Findings from the ACA and NSCP 2024 Cybersecurity Program Benchmarking Survey
We will share valuable insights from our biannual Cybersecurity Benchmarking Survey in partnership with NSCP.
Webcast
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
FCA Sets Sights on Private Markets and Portfolio Companies
The FCA is approaching private market firms to check how they consider governance both internally and with respect to their portfolio companies. Learn more about what this means for firms.
Compliance Alert
- Compliance
- FCA
Q4 2020 Regulatory Reporting Deadlines
Investment advisers must meet various regulatory filings requirements throughout the year. Below are the regulatory filing submission deadlines for the fourth quarter of 2020.
Compliance Alert
- Compliance
Compliance Testing Action Plan (Downloadable Guide)
We’ve entered the fourth quarter and we understand that many firms are in a pinch to get their testing completed. To help you get started, we’ve developed an action plan to guide you through the key questions to ask as you get started on your existing testing plan or developing one.
Article
- Compliance
SEC No-Action Letter: ATS Role in the Settlement of Digital Asset Security
The SEC’s Division of Trading and Markets issued a no-action letter to FINRA on September 25, 2020 confirming that the SEC staff would not recommend an enforcement action against broker-dealers trading digital asset securities that followed a three-step process.
Compliance Alert
- Compliance
MAR Review: ESMA Publishes Report on Reforms to Market Abuse Regime
The European Securities and Markets Authority (“ESMA”) recently published its Review Report on reforms to the Market Abuse Regulation (“MAR”). We outline the focus points and key amendments, what this means for firms and the post-Brexit impact.
Compliance Alert
- Compliance
CFTC Approves Final Rule Amending Form CPO-PQR
On October 6, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved a final rule (the Fi
Compliance Alert
- Compliance
Events
Chicago Compliance Officer Roundtable: Hot Topics for Investment Advisers
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
Conference
Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night
Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.
Webcast