Industry Insights

How an OCCO Helps RIAs Strengthen Regulatory Confidence

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Key Takeaways An OCCO provides experienced compliance leadership without hiring a full-time CCO. Strong compliance programs build regulatory confidence before an SEC examination begins. ACA OCCOs combine regulatory experience with the resources of a leading compliance consulting firm. Proactive, risk-based compliance helps firms reduce regulatory risk and prepare for SEC examinations. ACA OCCO Shoshana Thoma-Isgur […]

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How the FCA’s New Conduct Rule Affects eComms Surveillance

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Workplace Conduct Is Becoming a Regulatory Compliance Issue On 1 September 2026, a new FCA rule, Code of Conduct (COCON) Sourcebook 1.1.7FR, brings serious bullying, harassment, and violence toward colleagues within the Code of Conduct for roughly 37,000 firms, including asset managers, insurers, and is expanding to non-banks. Now, non-financial misconduct becomes both a Conduct

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Five COO Priorities Reshaping Investment Operations in 2026

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As investment firms navigate continued cost pressures, regulatory complexity, market uncertainty, and rapid advances in AI, the role of the COO is evolving. In 2026, operational success is no longer measured solely by efficiency. Today’s COOs are expected to build resilient operating models, oversee responsible AI adoption, mitigate talent risk, strengthen third-party governance, and ensure

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What Is the Retailization of Alternative Investments?

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Key Takeaways Retailization is expanding alternative investment access beyond traditional institutional channels Broader distribution can create new marketing, supervision, and registration considerations Rule 3a4-1 provides a conditional safe harbor for certain associated persons of an issuer Firms should consult counsel before relying on the safe harbor for new solicitation activities Firms that cannot rely on

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Scaling AML Investor Onboarding with Managed Services

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Company Type: Global Investment Firm Locations: Global Industry: Private Equity Case Study at a Glance Client: Global private equity firm with investor onboarding activity across multiple jurisdictions. Challenge: Rising investor volumes and increasingly complex investor structures were creating pressure on the firm’s ability to maintain consistent, risk-based AML reviews without slowing onboarding or creating friction

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AI Governance Is Becoming a Global Examination Priority

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Key Takeaways Financial regulators across the U.S., the UK, and the UAE are converging on AI governance expectations Existing regulatory frameworks already apply to AI-enabled activities AI-related governance and controls are receiving increased attention in examination priorities and supervisory guidance Governance, vendor oversight, and recordkeeping are emerging as common regulatory priorities Firms should strengthen AI

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Voice Phishing Campaign Targets Hedge Funds and Financial Services Firms

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Key Takeaways A coordinated vishing campaign is targeting financial services firms. Attackers impersonate internal IT personnel and trusted contacts. The primary objectives are credential theft and fraudulent MFA approvals. Social engineering—not software exploitation—is the primary attack vector. Strong identity verification procedures and employee awareness remain critical defenses. A coordinated voice phishing (vishing) campaign is actively

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AI Governance for Broker-Dealers

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Key Takeaways Broker-dealers remain responsible for activities performed with AI assistance AI tools should be inventoried, risk-rated, approved, and monitored Human oversight should remain part of consequential decisions and regulated activities Governance should address data protection, cybersecurity, supervision, recordkeeping, and third-party risk Policies and controls should be reviewed as technology and regulatory expectations change AI

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UK Transaction Reporting Gets a Major Reset

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Key Takeaways The FCA has finalised major reforms to the UK MiFIR transaction reporting regime. Reporting will focus on financial instruments traded on UK trading venues. FX derivatives will no longer be reportable under UK MiFIR. The FCA will reduce reportable fields from 65 to 52. Firms should begin assessing reporting logic, systems, and data

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AI Governance in UAE Financial Services Is Becoming a Regulatory Priority

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At a Glance AI is becoming an integral part of operations across UAE financial services. Regulatory attention is now shifting towards how firms govern AI, with increasing expectations around accountability, transparency, human oversight, and risk management. AI has rapidly shifted from experimentation to day-to-day operations across the UAE financial services sector. Just as quickly, the

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