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.

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Report

Key Trends and Forces Shaping Risk and Compliance Management in 2021

2020 saw interrelated shifts and changes on a scale not seen since The Great Depression: global economic turmoil, supply chain disruptions, and increased cyber and regulatory threats, among others. At ACA, we call this phenomenon RiskMutation.

In this report, ACA's Carlo di Florio analyzes the financial industry trends and broader forces impacting risk and compliance management in 2021. The report also explores the concerns, pain points, and focus areas of risk and compliance leaders from hundreds of firms polled by ACA.

Download the report to learn what you need to know to stay ahead of the curve and successfully navigate RiskMutation as it happens.

Latest insights and alerts

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FCA Market Watch 66 – Communications Recording Remains a Focus as Employees Continue to Work From Home

January 14, 2021

In its Market Watch 66, the FCA reminds firms around of their obligations to record telephone conversations and electronic communications - regardless of COVID-19 induced work environments. We examine considerations and requirements for firms.

Compliance Alert
  • Compliance
  • FCA

Hedge Fund Update: News You May Have Missed

January 14, 2021

In this edition of ACA's Hedge Fund Update, we discuss who the new SEC Chair may be, recent risk alerts, enforcement actions, and more.

Article
  • Compliance

SEC Adopts New Marketing Rule for Investment Advisers

January 13, 2021

The U.S. Securities and Exchange Commission (SEC) has finalized the long-awaited overhaul of the Advertising Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940 (Advisers Act)).

Article
  • Compliance
  • SEC Advertising Rule

Q1 2021 Regulatory Reporting Deadlines

January 08, 2021

Investment advisers must meet various regulatory filings requirements throughout the year. We summarized the regulatory filing submission deadlines for the first quarter of 2021.

Compliance Alert
  • Compliance

Short-Selling: Potential Dual-Reporting Requirement for Dual-Listed UK/EU Shares

January 08, 2021

From the end of the Brexit transition period on 1 January 2021, the UK became a ‘third country’ when reporting to EU regulators under the EU Short Selling Regulation. Following updates from ESMA, firms may now be subject to a dual-reporting requirement.

Compliance Alert
  • Compliance

UK Announces Amendment to its Short Selling Reporting Regime

January 05, 2021

Following HM Treasury & ESMA announcements, the FCA has provided an update on the notification and reporting of short sales under its newly onshored regime. We examine the revised UK regime and explore if this is an early taste of post-Brexit accommodation.

Compliance Alert
  • Compliance

Events

Senior Management Obligations under the SM&CR - 11 August 2021

The ever-increasing focus by the Regulators on the accountability of senior management, particularly when things go wrong, emphasises how important it is for individuals in senior positions to have a clear understanding of what is expected of them. This succinct course is designed to assist Senior Managers to have a full understanding of what they need to do to achieve compliance with the rules under the obligations created by the Senior Managers and Certification Regime (SMCR).

Online Training

Compliance Induction - 17 August 2021

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