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

Compliance Alert

SEC Turns Watchful Eye on ESG

March 17, 2021

A recent flurry of activity from the SEC has made it crystal clear that ESG will be a top priority in the near and long term.

Compliance Alert
  • ESG
  • Compliance
  • SEC
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FCA Confirms Dates for Cessation of Panel Submissions For All LIBOR Settings

March 11, 2021

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

March 11, 2021

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

March 10, 2021

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

March 09, 2021

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

February 23, 2021

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

Events

Senior Management Obligations under the SM&CR - 11 August 2021

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).

Online Training

Compliance Induction - 17 August 2021

Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.

Online Training