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

Cement Room

Operational Challenges with Performance Calculation and Reporting

Strengthen performance calculation and reporting processes to combat the opportunity for error caused by heightened investor scrutiny and new regulatory requirements.

Article
  • Compliance
  • Performance
ACA Global

May 2022 Broker-Dealer Newsletter

ACA's Broker-Dealer team invites you to download the latest edition of our newsletter

Newsletter
  • Compliance
Highways

The FCA’s 2022/23 Business Plan and Three-Year Strategy: Key Takeaways

Key takeaways from the FCA's recent three-year Strategy, setting out aims to improve outcomes for UK consumers and markets, as well as the FCA’s 2022/23 Business Plan, with actions to be taken by the FCA over the next twelve months.

Compliance Alert
  • Compliance
  • FCA
Cement Room

Compliance Challenges for Open-End Real Estate Vehicles

Understanding the key elements of operating an open-end real estate vehicle is pivotal to evaluating risks and implementing sufficient compliance oversight.

Article
  • Compliance
View of buildings looking up

The 2022 Investment Management Compliance Testing Survey is Now Open

The survey, now in its 17th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.

Survey
  • Compliance
Sea against rocks

A Drop of Clarity in the Regulatory Sea of Change

As we tentatively emerge into the post-pandemic world, the global financial industry has a myriad of regulatory hurdles to navigate. We provide guidance on key areas that firms will need to focus on in the coming months.

Article
  • Compliance
  • ESG
  • SEC Marketing Rule

Events

ACA's Outsourced Chief Compliance Officer: Is it right for me?

Join ACA Group’s Guy Talarico, John Vekich, and Craig Moreshead for a live discussion about the role of the Outsourced Chief Compliance Officer (OCCO) and how it can help your firm mitigate risks, while providing independent best practices from the leading GRC firm in the U.S.

Webcast