Tag: aca

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

The SEC's evolving regulatory agenda is forcing private fund managers to confront hard questions on AI governance, cybersecurity and the rapid retailization of private...

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 services firms are moving quickly to adopt AI note-taker tools because they make meetings easier to document and knowledge easier to share. But...

Investment managers are entering 2025 facing a more demanding compliance environment, shaped by heightened regulatory scrutiny and rising expectations from institutional clients. According to...

Responsible investment is entering a new phase as the UN Principles for Responsible Investment prepares to roll out its 2026 Reporting Framework. Announced in November...

A major North American mutual fund manager controlling more than $100bn in assets recently faced heightened scrutiny over its fixed income oversight. While the...

The FCA has issued a landmark consultation setting out one of the most significant changes to the UK’s MiFIR transaction reporting regime since its...

In today’s increasingly complex financial markets, surveillance has evolved far beyond a reactive compliance exercise. With mounting regulatory expectations and sophisticated trading environments, leading firms...