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

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Insider Trading: Recent SEC Charges Present Cautionary Lessons

Many private markets fund managers don’t think they need insider trading prevention controls but, investment in privately-held companies can have risk exposure.

Article
  • Compliance
Cement Room

Preparing to Comply with the SEC’s New Marketing Rule

The SEC's New Marketing Rule compliance deadline is November 4, 2022 - closer than you think. In this article, we outline our implementation action plan.

Article
  • Compliance
  • Performance
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Continued Developments in International Measures Against Russia

We explore how the continued regulatory developments from Western governments relating to Russia’s actions towards Ukraine affect financial firms.

Article
  • Cybersecurity
  • Cybersecurity Resources
  • AML and Financial Crime
  • Compliance
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SEC Sweep Inquiries and Enforcement Action of Unauthorized eComms

The SEC commenced sweep-style inquiries late last year into how big banks are monitoring, archiving, and safeguarding business-related electronic communications.

Article
  • Compliance
  • eComms Surveillance
  • RegTech
Compliance Alert

SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting

On February 10, 2022, the SEC voted to propose amendments regarding beneficial ownership reporting under Exchange Act Sections 13(d) and 13(g). The proposed rules would accelerate the filings deadline of Schedule 13D and 13G filings.

Compliance Alert
  • Compliance
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FCA Reminds Firms of their Financial Sanctions Obligations in the Light of New UK Measures Against Russia

The FCA has reminded firms of their financial sanctions obligations in the light of new UK measures against Russia. We outline key reminders and requirements for regulated firms to observe.

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