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

curved glass building looking up at a blue sky

SEC Division of Examinations 2022 Examination Priorities

On March 30, 2022, the U.S. Securities and Exchange Commission’s Division of Examinations released its FY2022 Examination Priorities. Read our insights.

Compliance Alert
  • Compliance
Cement Room

Potential Ramifications of the SEC’s Novel Shadow Trading Theory

This application of the “misappropriation theory” of insider trading is a reminder to assess whether MNPI is material to the value of shares of public companies.

Article
  • Compliance
Globe image

Finding Stability in an Unpredictable World: Watch On-Demand

What are the financial services trends set to shape the financial services world over the next two years? Tune in to our on-demand Regulatory Horizon 2022 conference session to learn more. Topics include Equivalence or divergence, the future for MiFID II and AIFMD, what's next for SEC exams and enforcements and the new world of work: managing people, processes and technology in a disruptive time.

Article
  • Compliance
  • FCA
  • SEC
  • Brexit
ACA Annual Conference 2022

Keynote Panel Announced for ACA's 2022 Annual Conference

Join us for a virtual conference for firms with a U.S. presence. We’ll explore hot topics in compliance, performance, cyber, ESG, and RegTech.

News
  • Compliance
  • RegTech
  • ESG
  • Cybersecurity
New York City from above at twilight

SEC New Marketing Rule: The Compliance Clock is Ticking

After 60 years of little to no amendments, The U.S. Securities and Exchange Commission’s (SEC) rules on advertising are set to change. With significant updates and changes ahead, learn why firms should begin preparing now to meet the November 2022 compliance deadline,

Article
  • Compliance
  • Performance
  • SEC
  • SEC Marketing Rule
curved glass building looking up at a blue sky

FINRA 2022 Risk Monitoring and Examination Priorities

The report identifies applicable rules and related compliance considerations for broker-dealers, summarizes recent exam findings, and describes best practices.

Compliance Alert
  • Compliance

Events

Compliance Induction - 28 June 2022

Senior management in Financial Services firms have a responsibility to ensure their employees have sufficient knowledge and understanding of the Regulatory environment they are working in. This knowledge helps in emphasising the need for compliance with policies and procedures in order to protect the firm and the individual from failing to “do the right thing”.

Online Training

Cyber Insurance: Preparing For the Market

Using proprietary data ACA collected over the past few months, our experts will explain the current state of the cyber insurance market, walk through how policies work, and provide key considerations for whether and how to obtain insurance.

Webcast

Money Laundering Reporting Officer: The Role and Responsibilities - 29 June 2022

The role of the Money Laundering Reporting Officer (MLRO) is a mandatory position in all firms in the Financial Services Industry. This reflects the statutory objective that the Regulator(s) have for ensuring that firms behave with “Integrity”, particularly relating to financial crime prevention. The MLRO therefore plays a significant role in assisting Senior management to ensure that systems and controls relating to anti-money laundering (AML) and countering the risk of terrorist financing (CTF) are appropriate and effective. This course provides practical advice and guidance on the responsibilities of the MLRO, what is expected by the Regulators, both of the Senior Management and the MLRO, and how those responsibilities can be achieved. It should be noted that attendance at this course does assume a good knowledge of the UK’s AML/CTF regulations.

Online Training