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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Ukrainian-Russian Conflict Escalates: How Developing Sanctions Affect U.S. Asset Managers

All U.S. persons and entities, including financial firms, are required to abide by the current OFAC sanctions against Russia. Firms should review their KYC, sanctions, and due diligence efforts in light of the changing OFAC mandates.

Compliance Alert
  • AML and Financial Crime
  • Compliance
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2022 Regulatory Headwinds: Potential Changes to Securities Laws and Regulations and the Impact on Private Fund Managers

We partnered with Willkie Farr & Gallagher LLP to explore several of the proposed SEC rulemakings that merit special attention for private funds.

Article
  • RegTech
  • Compliance
Regulatory Horizon 2022

Four Reasons to Attend Regulatory Horizon 2022 | Prepare for the Challenges of Tomorrow

On 8-10 March, we bring together a wealth of financial services industry experts at our virtual conference. Over 3 days and 10 sessions, they’ll examine a wide variety of governance risk and compliance hot topics and challenges. Learn more about why you should add this event to your calendar.

Article
  • Compliance
  • ComplianceAlpha
  • ESG
  • Cybersecurity
  • Cybersecurity Resources
  • Managed Services
  • FCA
  • SEC
  • SEC Marketing Rule
  • Regulatory Deadlines
Compliance Alert

SEC Proposes Sweeping Changes Affecting Private Fund Managers

On February 9, 2022, the SEC proposed five new rules as well as amendments to Rules 204-2 and 206(4)-7 under the Investment Advisers Act of 1940, as amended. According to the SEC, these proposals are designed to address "concerns that arise out of the opacity that is prevalent in the private fund structure."

Compliance Alert
  • Compliance
Roads

Lifting the Lid on the Systematic Trading: The Most Common Compliance Pitfalls

Navigating the matrix-like world of algorithmic trading is a complex task for compliance officers at SEC and FCA registered firms. Poor management results in adverse impacts for investors, losses or reputational damage. We reveal common compliance errors and provide guidance on how to rectify them.

Article
  • Compliance
Cement Room

Private Markets Quarterly Update 2021 Q4

Learn more about recent regulatory developments industry insights in our Private Markets Quarterly Newsletter.

Newsletter
  • Compliance

Events

Compliance Induction - 28 June 2022

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

Cyber Insurance: Preparing For the Market

Using proprietary data ACA collected over the past few months, our experts will explain the current state of the cyber insurance market, walk through how policies work, and provide key considerations for whether and how to obtain insurance.

Webcast

Money Laundering Reporting Officer: The Role and Responsibilities - 29 June 2022

The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

Online Training