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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Consultant's Corner Q&A: Preparing and Prioritizing for 2020

With less than three months of the year remaining, compliance professionals are feeling the pressure to cross off those final to-do’s for 2019 and build a strong foundation for 2020. To get firsthand insight on the challenges CCOs face, we sat down with one of ACA’s newest senior principal consultants and former CCO, Leigh Emery, to chat about the year-end obstacles, how to overcome them, and what trends to prepare for in 2020.

Article
  • Compliance
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ACA Compliance Group opens new office in Birmingham to expand European presence

ACA’s new Analysis and Review Centre provides a dedicated compliance resource hub to support financial service firms with their essential everyday regulatory responsibilities.

Press Release
  • Managed Services
  • Compliance
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FINRA Releases Resources for Regulation Best Interest

On October 8, 2019, FINRA released a new Reg BI and Form CRS Checklist to help firms determine whether their supervisory systems are in compliance with Regulation Best Interest and the Form CRS Relationship Summary.

Compliance Alert
  • Compliance
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More work to be done by firms around MiFID II unbundling practices, says UK FCA

Despite being pleased with progress so far around Research Unbundling, the FCA says it's a work in progress. The regulator will conduct another review in 18-24 months. What must firms consider to ensure their approach to research payments meets regulatory expectations?

Compliance Alert
  • Compliance
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SEC Adopts ETF Rule

On September 25, 2019, the Securities and Exchange Commission (the “SEC”) adopted new Rule 6c-11 under the Investment Company Act of 1940 (the “IC Act”) requiring certain exchange-traded funds (“ETFs”) to operate without exemptive relief if they satisfy conditions designed to promote investor protection.

Compliance Alert
  • Compliance
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SEC Guidance on Investment Adviser Proxy Voting Responsibilities

On August 21, 2019, the U.S.

Compliance Alert
  • Compliance

Events