Compliance Insights and Alerts

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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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SEC extends no-action letter relief on MiFID II Research Payments until July 2023

The SEC has extended its no-action letter relief on MiFID II Research Payments until July 2023. We examine the longer-term implications of the Extension Letter and outline interesting points raised by the regulator.

Compliance Alert
  • Compliance
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SM&CR: The final countdown

In less than one month, the Senior Managers & Certification Regime (SM&CR comes into force. Many Solo-regulated firms may need to accelerate the pace at which they are preparing for regime. Download our five-point checklist to benchmark your readiness ahead of the 9 December 2019 deadline.

Article
  • Compliance
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SEC Proposes Expansive Changes to Marketing and Advertising Rules

In an effort to ensure that the regulations applying to investment advisers remain relevant in the digital age, the staff of the SEC announced significant changes to the rules and guidance surrounding the marketing and advertising activities of registered investment advisers and the engagement of solicitors. Read our compliance alert to learn more.

Compliance Alert
  • Compliance
  • SEC Marketing Rule
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ACA Compliance Group Enters into Strategic Partnership with AMG

ACA has entered into a strategic partnership with Affiliated Managers Group, Inc. (NYSE: AMG), a global asset management company with equity investments in leading boutique investment management firms. Through the partnership, ACA will make available to AMG and its Affiliates ACA’s top-tier advisory consulting services and technology solutions across a variety of focus areas including regulatory compliance, performance, cybersecurity, and anti-money laundering.

Press Release
  • Compliance
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SEC Division of Enforcement Publishes 2019 Annual Report

Read our summary of notable findings from the SEC Enforcement Division's Annual Report covering FY 2019.

Compliance Alert
  • Compliance
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The 2020 U.S. Election is Here: How is Your Firm Monitoring Political Contributions and Government Relationships?

A heightened political climate increases political contributions and political activities that can violate pay-to-play rules and generate fines or even prohibit future business. Now is the time to review your firm's policies and procedures for monitoring employees' political contributions and government relationships.

Article
  • Compliance
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Events

Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night

Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.

Webcast
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