Insights
Critical Vulnerability Detected in Palo Alto Networks' GlobalProtect Gateways
A popular firewall used in the financial industry is under attack due to a critital zero-day vulnerability. Firms that use Palo Alto Networks' firewall need to update their software to protect their systems.
- Cybersecurity
FCA Interim Update - Asset Management & Alternatives Supervisory Strategy
The FCA recently released a Dear CEO letter interim update to reinforce their continued focus on protecting investors and customers from poor outcomes and upholding market integrity.
- Compliance
- FCA
- ESG
The FCA’s 2024/25 Business Plan: Maintaining Focus and Resiliency Amid Ongoing Economic and Geopolitical Uncertainty
The FCA unveiled its Business Plan for 2024/25 providing a roadmap for its actions in support of its strategic objectives for the upcoming fiscal year.
- Compliance
- ESG
- FCA
- Trade Surveillance
Two Important Cybersecurity Alerts from CISA
The Cybersecurity and Infrastructure Security Agency (CISA) issued two advisories that require impacted firms to take immediate action.
- Cybersecurity
Strategies to Transform Your Compliance Program with Technology - #5: Tech-enablement
Adopting new technology is a great opportunity to review your compliance program’s processes and make improvements.
- RegTech
- ComplianceAlpha
Q2 2024 Regulatory Reporting Deadlines
Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from April through June 2024.
- Regulatory Deadlines
- Compliance
- SEC
- FINRA
- FCA
Cybersecurity Benchmarking Survey Lists Top Concerns and Preparedness Among Respondents
Our annual survey in partnership with NSCP reveals that investment firms overlook AI as a cybersecurity risk and remain wary about SEC cybersecurity enforcement and compliance with new rules
- Cybersecurity
- Cybersecurity Resources
- ACA News
ACA Group Launches Dedicated Practice Group Providing GRC Solutions for Wealth Managers
ACA Wealth sets a new standard in GRC support for wealth managers, providing unmatched expertise and comprehensive solutions to address evolving regulatory requirements.
- ACA News
Anti-Money Laundering Procedures - A UK Regulatory Focus
The FCA recently warned Annex 1 firms about common failings in financial crime controls. We look at the wider implications and tone of this warning.
- AML and Financial Crime
- Compliance
- ComplianceAlpha
The SEC Expands the Definition of Dealer
The SEC Adopted two new rules that may require some hedge funds and proprietary trading firms to register as broker-dealers and become FINRA members.
- Compliance