Key Findings from the ACA and NSCP 2024 Cybersecurity Program Benchmarking Survey
We will share valuable insights from our biannual Cybersecurity Benchmarking Survey in partnership with NSCP.
Webcast
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
ACA Compliance Group Launches Consulting Services for Mutual Fund Board of Directors
ACA Compliance Group (“ACA”) has expanded its consulting services to support mutual fund boards and senior management with enhanced governance of critical issues, board oversight, and business judgement.
Press Release
- Compliance
The FCA Business Plan 2019/20 and the Future of Financial Regulation in the UK
On 17 April, the FCA published its Business Plan for 2019/2020, setting out its key priorities and specific activities for the coming year. Read on for a summary of the areas of priority we believe will be of interest to firms in the wholesale arena, and a dissection of Mr Bailey’s vision.
Compliance Alert
- Compliance
Summary of FINRA Regulatory Actions 2018
The total dollar amount of fines in 2018 that the Financial Industry Regulatory Authority’s (“FINRA”) Enforcement Division ordered against its member firms increased slightly to $74 million from $68 million in 2017. While the total dollar amount increased nearly nine percent, the total number of fines decreased to 209 in 2018, compared to 318 in 2017. Both the number and dollar amount of fines assessed by FINRA have fallen significantly since 2014, as the charts below show. In 2014, FINRA fined broker-dealers a record amount of nearly $129 million dollars, roughly 10 percent greater than the total dollar amount assessed in 2017 and 2018 combined.
Compliance Alert
- Compliance
Regulatory Changes with Compliance Implications for Exchange-Traded Funds
Several new regulatory requirements and developments should be evaluated by certain ETF sponsors and advisers regarding changes to the stock-exchange listing standards and Regulation M. This article summarizes these developments and their potential compliance program implications.
Compliance Alert
- Compliance
Transaction reporting: The beginning of the end or the end of the beginning?
Numerous firms who have undertaken complex, expensive and burdensome projects to build their reporting frameworks have mistaken the light at the end of the implementation tunnel as the end of the MiFID II challenge. Some firms are looking the wrong way down the tunnel, and others might well be watching the FCA enforcement train leaving the station.
Compliance Alert
- Compliance
- Trade & Transaction
SEC Warns of Data Privacy Compliance Issues
On April 16, the SEC's OCIE issued a risk alert detailing compliance issues from recent examinations of investment advisers and broker-dealers pertaining to privacy regulations.
Compliance Alert
- Compliance
Events
Chicago Compliance Officer Roundtable: Hot Topics for Investment Advisers
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
Conference
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