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

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CFTC and NFA Regulatory Relief for Commodity Pool Operators and Commodity Trading Advisors

Due to the ongoing COVID-19 pandemic, the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) have provided regulatory reporting and branch office relief for registered Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs).

Compliance Alert
  • Compliance
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Managing Compliance Resource Constraints Due to COVID-19

In the face of the COVID-19 pandemic, compliance teams may need to utilize remote outsourcing or the “managed services model” to provide a much needed extension of the compliance function. Turning to an outside firm, whether for staffing support, outsourced or co-sourced arrangements, or implementing smart technology can provide the resources your firm needs.

Article
  • Compliance
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7 Important Actions for Managing COVID-19 Pandemic-Related Change

A recent ACA webcast, Best Practices and Strategies for Managing Business Risks Due to COVID-19 Pandemic, explored the current regulatory landscape, best compliance practices for working from home, and strategies for mitigating emerging risks. Seven important actions that compliance teams should be taking today emerged from the discussion.

Article
  • Compliance
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EU Short Selling Restrictions: A Further Update

In the latest of a series of short selling announcements, the Belgian, French, Italian and Spanish regulators have now revealed restrictions for each jurisdiction. We examine how this impacts on financial services firms.

Compliance Alert
  • Compliance
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SEC Issues Conditional Temporary Exemption for Advisers Affected by Coronavirus (COVID-19)

On Friday, March 13, 2020, the Securities and Exchange Commission (SEC) issued a temporary exemption for firms affected by coronavirus (COVID-19) from certain regulatory filing deadlines or delivery requirements with respect to Form ADV and Form PF .

Compliance Alert
  • Compliance
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ESMA lowers net short position reporting threshold to 0.1%

Responding to the serious adverse effects on the real economy and on EU financial markets posed by the COVID-19 pandemic, ESMA has announced it has temporarily lowered the threshold for net short position reporting to EU regulators to 0.1%.

Compliance Alert
  • Compliance

Events