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”.
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
On March 30, 2022, the U.S. Securities and Exchange Commission’s Division of Examinations released its FY2022 Examination Priorities. Read our insights.
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.
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.
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.
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,
- SEC Marketing Rule
The report identifies applicable rules and related compliance considerations for broker-dealers, summarizes recent exam findings, and describes best practices.
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.
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.