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.
Strengthen performance calculation and reporting processes to combat the opportunity for error caused by heightened investor scrutiny and new regulatory requirements.
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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.
Understanding the key elements of operating an open-end real estate vehicle is pivotal to evaluating risks and implementing sufficient compliance oversight.
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.
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.
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.