Insights
Five ACA Group Leaders Recognized Among the 2&20 Top 100 Most Influential People in the Service Provision for Alternative Investment Firms
Five ACA Group Leaders Recognized Among the 2&20 Top 100 Most Influential People in the Service Provision for Alternative Investment Firms
- ACA News
Global Focus on Financial Crime: Emerging Regulatory Trends in the EU
Firms in the EU are facing stricter AML and CTF regulations driven by the 6AMLD and 7AMLD and the evolving approach to sanctions compliance.
- AML and Financial Crime
FCA Private Markets Valuation Review
The FCA recently conducted a review of private market valuation practices in response to concerns about rising interest rates and changes in market conditions for private assets.
- Compliance
- FCA
- Private Fund
The Treasury “Suspends” Enforcement of the Corporate Transparency Act for U.S. Companies
The Department of the Treasury announced that it had suspended enforcement of the Corporate Transparency Act with respect to U.S. companies and U.S. citizens.
- Compliance
- AML and Financial Crime
White Paper: The GRC Evolution
The GRC evolution: how outsourcing addresses talent, operational, and regulatory gaps
- Managed Services
- Compliance
FCA Dear CEO Letter: Asset Management and Alternatives Supervisory Strategy for 2025
In the letter, the FCA states it will be focusing on enabling growth and streamlining its regulatory and data frameworks.
- Compliance
- FCA
Tips for Preparing Your Form ADV 2025 Update
These tips are intended to help you ensure a smooth process to prepare your Form ADV update.
- Compliance
- SEC
White Paper: Building an Effective Compliance Program
Key considerations for compliance with the SEC and FCA.
- Compliance
- SEC
- FCA
2025 FINRA Annual Regulatory Oversight Report
This report offers member firms insights into findings and observations from FINRA’s member supervision, market regulation, and enforcement programs.
- Compliance
- FINRA
The SEC’s Valentine’s Day Gift to Asset Managers: An Extension of the Short Sale Reporting Deadline
The SEC gave asset managers a sweet surprise in the form of extra time to comply with SEC Rule 13f-2 and Form SHO filings.
- SEC
- Compliance
- Regulatory Deadlines