Insights
ACA Named Best ETF Distributor for Consecutive Year at 2024 ETF Express US Awards
ACA Foreside has been awarded Best ETF Distributor at the 2024 ETF Express US Awards in New York City.
- ACA News
- Distribution
White Paper: SEC Marketing Rule, GIPS Standards, and FINRA RN 20-21 - What Sets Them Apart?
A practical guide to navigating key compliance standards for financial marketing.
- Performance
- SEC Marketing Rule
- GIPS Standards
New SEC Rule on Short Selling: Key Filing Requirements and Deadlines for Form SHO
The SEC's new Rule 13f-2 requires institutional investment managers to file Form SHO starting January 2, 2025.
- SEC
SEC Enforcement Action for Incomplete Cyber Incident Disclosures
The SEC recently charged four companies for insufficient disclosures related to cyber incidents alleging they did not fully communicate the nature and impact of the cyber breach.
- Cybersecurity
Outsourcing Regulatory Filings: A Strategic Advantage for Investment Managers
Regulatory filings can often be both time-consuming and resource-intensive. Outsourcing the filing process can provide many benefits
- Regulatory Deadlines
Mastering Employee Compliance: Key Strategies for CCOs
Key strategies can help you effectively manage employee compliance, foster a culture of adherence, and support the organization's overall success.
- Compliance
- ComplianceAlpha
Former SEC Leader Robert Baker Joins ACA Group's Tech-Enabled Mock Examination Team
We are pleased to announce that Robert Baker, JD, CFA has joined ACA Group, bringing nearly two decades of experience from the Examination and Enforcement Division at the SEC.
- ACA News
Automating Success: How Tech-Driven Compliance Becomes A Competitive Differentiator
By automating routine tasks and consolidating data, RegTech can enable compliance teams to focus on what really matters.
- RegTech
- ComplianceAlpha
- AML and Financial Crime
- eComms Surveillance
- Trade Surveillance
Embracing Advanced Technologies: Key Takeaways From the 1LoD Asset Management Compliance Leaders’ Network
Communications surveillance has emerged as a critical area for asset managers to ensure compliance.
- RegTech
- ComplianceAlpha
- eComms Surveillance
ACA Group Broadens Global Footprint Through Acquisition of the Effecta Compliance Group
Acquisition strengthens ACA’s ability to support clients expanding into the UAE and broadens offering to UK firms .
- ACA News