Compliance Insights and Alerts

Subscribe for more insights
  1. Insights
  2. 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

forest of trees from above

2020 Liquidity Risk Management Program Rule Survey

By participating in this survey, you can help us identify trends in how firms are complying with the rule and accounting for market closures and market volatility. Results will be presented later this summer so you can implement some of the most common practices at your firm.

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

The Regulatory Initiatives Grid and Implementing Regulatory Change in the UK

The Financial Services Regulatory Initiatives Forum (‘FSRIF’ or the ‘Forum’) recently published its Regulatory Initiatives Grid to help the financial services industry understand, and plan for regulatory change as a result of COVID-19. We examine the impact and areas of focus.

Compliance Alert
  • Compliance
Compliance Alert

SEC Examination Requests Related to COVID-19 Business Continuity and Operational Resilience

The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) announced in March that it intends to engage in an ongoing outreach with registrants to assess the impacts of COVID-19, including challenges impacting operational resiliency. In the last few weeks, ACA has seen an increase in the number of examinations announced by the SEC examination staff.

Compliance Alert
  • Compliance
  • BCP
  • COVID-19
  • Cybersecurity
forest of trees from above

Regulation Best Interest Readiness Survey

We invite you to complete a short survey to provide insight and transparency into the various ways firms are preparing for Reg BI and Form CRS in preparation for the June 30, 2020 compliance deadline.

Survey
  • Compliance
Blog IAA image

Key Considerations for Adjusting Your Compliance Program in the Age of COVID-19

In this blog post, we share peer insights into how financial firms’ CCOs are navigating today's challenges, evolving regulatory expectations, and looming economic realities, along with ACA's expertise into how CCOs can adjust their compliance programs for long-term success in this environment.

Article
  • Compliance
  • COVID-19
curved glass building looking up at a blue sky

FCA Business Plan 2020/21: Navigating the COVID-19 Crisis Amidst Longer Term Priorities

The FCA recently published its pragmatic yet ambitious annual Business Plan for 2020-21, which makes it clear that the current COVID-19 crisis will neither derail the regulator's multi-year strategy nor lead to a relaxation of its policing mission. We examine what the regulator's plans mean for financial services firms.

Compliance Alert
  • Compliance
See more insights

Events

More Events