Industry Insights

What a U.S. Government Shutdown Means for Regulated Firms

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On October 1, 2025, the U.S. government entered a shutdown following a lapse in appropriations. As in previous shutdowns, federal agencies including the SEC and the CFTC have published contingency plans outlining how their operations will be affected. While essential services will continue, most agency staff are furloughed, and many regulatory functions are suspended. This […]

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The ADGM’s 2025–2026 Regulatory Priorities

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The ADGM Registration Authority has released its 2025–2026 Regulatory Priorities, outlining nine key focus areas and performance metrics aimed at strengthening compliance, transparency, and innovation across its over 11,000 licensed entities. This year’s priorities signal a maturing regulatory environment in the UAE; one that’s increasingly tech-driven, enforcement-focused, and investor-friendly. The addition of retail and consumer

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Enhancing SEC Exam Readiness for a New Private Fund Adviser

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Company: Private Fund Adviser Location: U.S. Financial Services Sector: Private Funds, Seed Capital Background Heightened Regulatory Scrutiny Expected A newly registered investment adviser managing a private fund primarily funded with seed capital sought ACA’s expertise to prepare for a potential SEC examination. The firm anticipated it would increase the private fund’s assets over time with

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Navigating the Future of Crypto Compliance: A Conversation with David Labhart

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As digital assets continue to reshape the financial landscape, compliance professionals are facing new challenges and opportunities. In this exclusive interview, David Labhart, former SEC regulator and current ACA leader, shares his journey through law, finance, and technology, offering insights into the evolving role of compliance in the crypto space. From his early days at

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The ADGM’s Prudential Rule Changes for Lower-Risk Firms

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The FSRA has issued updated prudential requirements for Category 3B, 3C, and 4 firms. These changes follow Consultation Paper No. 2 of 2025 and its Dear Senior Executive Officer (SEO) letter dated 02 September 2025, and took effect on 19 August 2025, with additional provisions commencing from 01 January 2026. These changes reflect the FSRA’s

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The SEC Holds First Webinar to Help Firms Comply with Reg S-P

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On September 25, 2025, the SEC held the first of three planned compliance outreach events to help firms prepare for and comply with the upcoming amendments to Regulation S-P (Reg S-P). This session, intended for larger firms, covered a wide range of topics from an overview of the coming changes to answering questions submitted about

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FCA Warns About Market Sounding Disclosures and Inside Trading Controls

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The FCA’s Market Watch 83 puts a spotlight on weak market sounding and inside information controls, raising the stakes for both corporate finance firms and hedge fund recipients. This goes beyond a compliance reminder; the FCA’s in-depth analysis of corporate finance firms reveals systemic weaknesses in managing inside information, especially during market soundings. With hedge

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ESG Compliance Horizon Newsletter: Q3 2025

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The ESG regulatory landscape is evolving quickly, and firms that delay risk falling behind. In our Q3 2025 ESG Compliance Horizon Newsletter, you’ll find the critical updates, insights, and best practices your compliance teams need to prepare. Download now to ensure your firm is ready for upcoming deadlines and regulatory expectations. Inside this edition: UK

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FCA Review of Off-Channel Communications Highlights Global Compliance Risks

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The FCA recently published a Multi-firm Review into Off-Channel Communications with a timely snapshot of how wholesale banks are managing risks associated with unmonitored communications. The regulator’s message is clear: electronic communications (eComms) surveillance is no longer optional; it is a regulatory necessity. The FCA also states that any firms required to review electronic communications, not just wholesale

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Beyond the ESG Questionnaire: Fit-for-Purpose ESG Tech in Credit

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Private credit is no longer niche. With global assets under management surpassing $1.7 trillion, and expected to double by the end of the decade, it has become the fastest-growing corner of the alternatives market. In the U.S., momentum is fueled by anticipated Federal Reserve rate cuts and a landmark Executive Order opening 401(k) retirement plans

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