Risk and compliance officers today are faced with an unprecedented level of complexity and change. Increasing compliance risks are combining with the evolving challenges of the COVID-19 pandemic – a phenomenon ACA calls RiskMutation™ – in a way that is creating new risks but also new opportunities.
To effectively manage RiskMutation, risk and compliance officers need enhanced capabilities to improve the efficiency, resilience, and scale of their programs. ACA's Patrick Conroy and Marc Salter spoke at the recent Global RegTech Summit Virtual, where they discussed how integrated data, dashboards, and reporting are critical to effective and efficient risk and compliance management.
Watch the video replay to learn more.
- White Paper: The Future of Risk and Compliance in the Age of RiskMutation
- Checklist: Surveillance Program Gap Analysis
- Blog Post: MAR Review: ESMA Publishes Report on Reforms to Market Abuse Regime
- Infographic: Regulatory Notices on Market Abuse Since March 2020
- Compliance Alert: SEC OCIE Issues Risk Alert on COVID-19-Related Compliance Risks and Issues
- Compliance Alert: OCIE Risk Alert Highlights Private Fund Adviser Deficiencies Related to Conflicts of Interest, Fees and Expenses, and MNPI / Code of Ethics
- Compliance Alert: ACA Market Watch 63 Reminds Firms of Market Abuse and Reporting Requirements During the COVID-19 Crisis
- Checklist: The Compliance Officer’s Plan for Recovery in the Next Phase of COVID-19
For More Information
For questions or more information about ACA's RegTech solutions and how they can help your firm keep up with evolving compliance challenges and RiskMutation, please reach out to your ACA consultant or contact us here.