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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SEC Increases The Size Of Their Crypto Assets and Cyber Unit

With new challenges and risks crypto poses to investors, the U.S. Securities and Exchange Commission endeavors to dedicate more resources to protect market participants from securities law violations related to crypto.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
  • Compliance
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Regulatory Technology Trends to Watch for in 2022

We’ve compiled the top technology-related trends, insights, and resources compliance leaders need to know to maintain an efficient and effective compliance program.

Article
  • RegTech
  • Compliance
Image showing ACA Mirabella HFM European Services Winner 2022

ACA Mirabella Awarded HFM's Title of Best Regulatory Hosting Platform

ACA Mirabella are recognised as the hedge funds preferred provider, having once again been presented the title of Best Regulatory Hosting firm at the 2022 HFM European Services Awards. This is the seventh year in a row that ACA Mirabella has taken this title. Learn more about this win here.

News
  • Mirabella
  • Compliance
  • ACA News
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Transaction Reporting Still Not a Priority for Firms, Despite Recent ESMA Fine

New research reveals that confidence among financial services firms in the quality of their own transaction reporting is declining – down to 65% from 87% in 2021. This confirms concerns around inaccurate regulatory reporting leading to fears of undetected market abuse and an inability to monitor for systemic risks.

Press Release
  • Compliance
  • FCA
  • Trade & Transaction
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New FCA Climate-Related Disclosure Obligations: Start Planning Now

Enhanced FCA climate-related disclosures come into play for many asset managers from 1 January 2023. Compliance is closely aligned to the Taskforce on Climate-Related Financial Disclosures (“TCFD”). Download our guidance sheet to start planning for the upcoming changes.

Compliance Alert
  • Compliance
  • FCA
  • ESG
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Summary of FINRA Regulatory Actions in 2021

FINRA brought 126 enforcement actions and issued fines totaling almost $100M in 2021. In comparison, FINRA only issued a total of $57M in fines during 2020.

Compliance Alert
  • Compliance

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