In the U.S., the Securities and Exchange Commission (SEC) has signaled a clear shift in focus and prioritization. Recent commentary from SEC Chair Gary Gensler indicates that the agency will likely push forward with an aggressive rulemaking agenda.
"The SEC’s Enforcement Division is the cop on the beat for America’s securities laws…As these results show, we go after misconduct wherever we find it in the financial system, holding individuals and companies accountable, without fear or favor, across the $100-plus trillion capital markets we oversee." - Chair Gary Gensler, 2021 Division of Enforcement Annual Report
Communication has always been integral to the investment world and, as technology evolves and expands, the need for adequate and equally evolved surveillance mechanisms has grown.
This month, we highlight the SEC’s crackdown on unmonitored messaging apps, their latest rule proposal addressing due diligence on service providers, and more.
ACA Group has announced its Managed Services as a comprehensive compliance offering to firms of all sizes around the world.
Macroeconomic trends are coming together to create a “superstorm” making it difficult for the financial industry to find and retain talent, creating compliance risks for firms. What are the practical solutions to address these challenges?
Learn more about recent regulatory developments and industry insights in our Private Markets Quarterly Newsletter.
We are pleased to provide this latest update to keep you apprised of regulatory developments in the private fund and liquid alternatives space.
Join us for a special live Consultant's Corner webcast where we'll discuss what firms should know about the recent deficiencies uncovered in private fund manager examinations.
Our surveillance, compliance, and technology experts will discuss the latest client communication trends in the financial industry and what solutions are available to monitor and archive those communications.
Hear from ACA’s Carlo di Florio, Mike Pappacena, and Liam Jaris as they unpack the SEC’s proposed cyber rules and amendments and describe how they can affect private fund managers.