Insights
Navigating Cybersecurity Regulatory Uncertainty
The 2024 Cybersecurity Benchmarking Survey uncovered regulatory focus on cybersecurity as a top concern within the financial sector.
- Cybersecurity
ACA's Commitment to Client Success Deepens with the Appointment of New COO
ACA Group is delighted to announce the appointment of Jean-Christophe Chandumont (JC) as Chief Operating Officer.
- ACA News
FinCEN and the SEC Propose Customer Identification Programs for Advisers
FinCEN and the SEC recently issued a proposal detailing requirements for customer identification programs for registered investment advisers and exempt reporting advisers.
- AML and Financial Crime
- SEC
The FCA Reminds Firms of the Importance of Data and Algorithmic Governance in Market Abuse Surveillance
In its Market Watch 79, the FCA issued a reminder to firms about the perils of data issues and poor algorithmic governance in tools used for market abuse surveillance.
- Compliance
- FCA
- Trade Surveillance
- RegTech
- ComplianceAlpha
The Fifth Circuit Court of Appeals Rules to Vacate the SEC's Private Fund Adviser Rules
Although the court ruled to vacated the SEC's Private Fund Adviser Rules, we do not see this as a moment to "put pencils down,” but rather to monitor closely and continue with compliance readiness under potential appeal outcomes.
- Compliance
- SEC
- Private Fund
An Overview of Interval Funds: Rule 23c-3
An overview of Rule 23c-3 forms the foundation for understanding interval funds’ fundamental structure. Rule 23c-3 delineates the regulatory framework, mechanisms, and restrictions for how interval funds conduct repurchase offers.
- Distribution
ACA and ACA ALLiance Celebrate Pride and Progress
This Pride Month, we are excited to celebrate with our employee resource group, ACA ALLiance, to honor the contributions and experiences of the LGBTQIA+ community within ACA and beyond.
- ACA News
ACA Group Announces Agreement to Acquire UMB Distribution Services, LLC
Acquisition expands ACA Foreside’s distribution leadership, now distributing and servicing over an estimated $2 trillion in assets.
- Distribution
- ACA News
Common AML Schemes: Investment Companies
One common way that individuals may try to launder money is through the use of investment accounts and shell companies.
- AML and Financial Crime
The Overseas Funds Regime
Marketing a new fund in the UK that is domiciled overseas to retail investors is about to change. New EEA UCITS could be coming to market in the UK by November, 2024.
- FCA
- Compliance