Industry Insights

How to Build an Effective Modern Trade Surveillance System

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“Modern trade surveillance isn’t about generating more alerts. It’s about delivering smarter insights, stronger defensibility, and a more resilient compliance framework. That’s what being truly effective looks like today.” – Carlo di Florio, President, ACA Group As markets grow more complex and regulatory expectations continue to intensify, firms need trade surveillance solutions that do far […]

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FINRA Revises Gifts Rule: Key Changes and Compliance Considerations

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FINRA has adopted updates to the Gifts Rule (Rule 3220 – Influencing or Rewarding Employees of Others) to modernize thresholds and clarify how gifts should be valued, aggregated, and supervised. The rule continues to focus on preventing improper influence in business relationships, like the intent behind the Foreign Corrupt Practices Act and Pay-to-Play rules. FINRA

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Accessing the UK Markets Under Your Own FCA Licence

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The UK remains one of the world’s most influential financial centres, offering access to deep pools of capital, sophisticated investors, and a robust regulatory framework that inspires trust. For global investment managers and asset managers, establishing a presence in the UK is more than a strategic move; it’s a statement of credibility. Operating under your

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Rethinking FCA Authorisation in a Growth-Focused Market

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On 22 January 2026, the FCA hosted an in-person event in London, Gateway to Growth. The session supported the FCA’s broader commitment to supporting the competitiveness and continued development of the UK financial sector, a core pillar of its five-year strategy. ACA attended by invitation, offering direct insight into the FCA’s current thinking on authorisation

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BeyondTrust Patches Critical RCE Vulnerability CVE‑2026‑1731

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BeyondTrust, a leading provider of privileged access and remote support solutions, has disclosed a critical remote code execution (RCE) vulnerability affecting its Remote Support (RS) and Privileged Remote Access (PRA) products. Tracked as CVE-2026-1731, the vulnerability carries a Common Vulnerability Scoring System (CVSS) score of 9.9 and has been confirmed as actively exploited. The flaw allows

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FCA Targets Clarity with New Categorisation and Conflicts Proposals

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The FCA is consulting on proposals under consultation paper (CP) 25/36 to update client categorisation under the Conduct of Business Sourcebook (COBS) and to streamline conflicts of interest rules in the Senior Management Arrangements, Systems and Controls (SYSC) sourcebook. The intention is to make requirements clearer and more consistent, without raising the underlying regulatory expectations

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How The FCA Is Driving Higher Standards Through Enforcement Watch

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The FCA’s inaugural Enforcement Watch newsletter signals a shift toward a more transparent and assertive enforcement posture, giving firms earlier visibility into investigations, sharper scrutiny of Consumer Duty outcomes, and a more deliberate focus on individual accountability. It also provides insight into a closer alignment between enforcement work and the regulator’s strategic priorities. A Clearer

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Preparing for the SEC’s 2026 Exam Priorities: What Advisers Must Get Right Now

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This article was originally published by ThinkAdvisor on January 22, 2026. The SEC’s 2026 Examination Priorities arrive in a de-regulatory environment, but that does not mean firms can relax. Quite the opposite. The priorities signal a renewed emphasis on fundamentals, paired with heightened scrutiny of emerging risks that directly affect retail investors. Drawing on my

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Transforming GIPS® Oversight and Client Reporting for a $10B Investment Adviser

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Client Background A U.S. based investment advisor with approximately $10 billion in assets under management was navigating a period of acquisition-driven growth. As the firm scaled, it faced resource constraints and increasingly complex Global Investment Performance Standards (GIPS®) compliance requirements, alongside rising demands for accurate, timely client and prospect reporting. To address these challenges, the

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Exploring Operational Resilience Regulations and Their Global Focus

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Operational resilience has become a top priority for regulators worldwide. From the EU’s DORA and Network and Information Security Directive 2 (NIS2) to the UK’s FCA / Prudential Regulation Authority (PRA) guidelines, UAE’s DFSA and Central Bank of the UAE (CBUAE) frameworks, Australia’s Australian Prudential Regulation Authority (APRA) CPS 230, and India’s Cybersecurity and Cyber

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