Industry Insights

Scalable Transaction Reporting Is a Growth Enabler 

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Recent proposed regulatory changes have exposed a potential long‑standing challenge for financial services firms. Transaction reporting is mandatory, technically complex, and increasingly scrutinised, yet it rarely scales in line with business growth. The FCA’s Consultation Paper, CP25/32, brings into focus whether transaction reporting frameworks should evolve alongside business growth. Why CP25/32 Puts Scalability Under the […]

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A Smarter Path for U.S. Institutional Market Access

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Interest from U.S. institutional investors in global investment strategies continues to grow. Pensions, endowments, and large allocators are actively seeking differentiated strategies beyond domestic markets. Yet many international firms hesitate to engage because U.S. distribution is heavily regulated and often framed as a binary decision. In reality, it doesn’t need to be. Why U.S. Demand

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What Advisers Need to Know About the Technology and Its Risks

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AI has quickly become one of the most consequential technologies shaping modern financial services. Yet for investment advisers, adopting AI is not simply a matter of installing a tool or enabling a new workflow. Fiduciary duty requires advisers to understand how a technology functions, where it performs well, where it breaks down, and how its

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FCA Non-Financial Misconduct Is Now a Core Compliance Risk

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Non-financial misconduct has moved decisively from a cultural concern to a core regulatory risk, and how firms respond is increasingly seen as a visible measure of governance maturity. Training is becoming the primary mechanism for firms to demonstrate capability, ensure consistent judgement, and evidence regulatory readiness. Expectations are rising across the market, with regulators placing

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Five Things Every CCO Needs to Know: Insights from ACA’s Spring 2026 Media Roundtable

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The compliance landscape has rarely shifted as fast as it is shifting right now. During ACA’s recent media roundtable, ACA experts discussed the regulatory developments, operational pressures, and enforcement trends shaping the year ahead for investment managers. While the headlines continue to evolve, several themes consistently rose to the top of the conversation, highlighting areas where

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Implementing the TNFD Framework to a Non-Traditional Investment

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Company: Ranchland Capital Partners (RCP) Location: U.S. Financial Services Sector: Asset Manager Overview RCP invests in ranches in the Rocky Mountain West region. Their investment strategy seeks to improve ecosystem function and encourage conservation and biodiversity while promoting financial growth. “As a growing investment manager in an emerging asset class, we recognized early on that

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FINRA Ends the Pattern Day Trader Rule

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On April 20, 2026, FINRA published Regulatory Notice 26-10 announcing the adoption of updated intraday margin standards under FINRA Rule 4210. The new requirements replace the longstanding “day trading margin requirements,” including the pattern day trader (PDT) framework. The amendments eliminate both the day trade count thresholds used to designate customers as “pattern day traders”

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Operational Resilience in The DIFC is a Board Focus Under CP170

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DFSA’s Consultation Paper No. 170 (CP170) marks a clear evolution in how operational resilience will be defined and supervised in the DIFC. While still in consultation, the direction is clear. This is not a refresh of business continuity planning, nor a narrow enhancement of existing controls. Instead, the proposals introduce a service-focused, outcome-driven framework that

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How Investment Advisers Should Approach AI Risk and Governance

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Across industries, AI continues to accelerate operational transformation, offering opportunities to enhance decision-making, streamline processes, and drive innovation. Adoption is becoming mainstream: a June–July 2025 McKinsey survey of nearly 2,000 companies across 105 countries found that 88% were piloting AI in at least one business function; up from 72% in 2024 and 55% in 2023.

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Rethinking Regulatory Filings as a Strategic Capability

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Regulatory filings are no longer a back-office chore. They’ve become a clear marker of compliance maturity and operational resilience. Regulation is expanding across jurisdictions, and reporting obligations are growing more complex. Deadlines are tighter, and tolerance for mistakes is shrinking. Manual processes, spreadsheets, email chains, and disconnected tools cannot keep pace. They introduce risk at

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