Tag: ACA

Compliance teams are under growing pressure to file accurately and on time, even as data volumes climb and regulatory obligations spread across multiple jurisdictions....

Registered investment advisers face growing pressure to prove their compliance programmes are not just written down but actively working, and many are turning to...

The FCA has finalised its biggest shake-up of UK MiFIR transaction reporting since Brexit, and firms hoping for a straightforward compliance breather may be...

Financial regulators across the US, UK and UAE are converging on a single message: existing rules already apply to artificial intelligence, and firms cannot...

The rapid adoption of generative and agentic AI is forcing financial services firms to reconsider whether traditional information barriers remain effective in a world...

Private fund managers are facing a regulatory landscape that is shifting on multiple fronts at once, as the SEC sharpens its focus on AI...

With an estimated 200+ regulatory updates each day, it is easy to understand why compliance teams often feel the pressure of keeping pace with...

Risk management is one of the core foundations of a firm’s compliance workflow. When implemented effectively, risk management helps ensure compliance processes are not...

Financial firms are rolling out AI note-taker tools at speed, drawn by the promise of lighter admin and faster documentation. But convenience comes with...

As investment managers face mounting regulatory scrutiny and increasingly sophisticated client expectations, compliance with the Global Investment Performance Standards (GIPS) continues to play a...