Insights
The Evolution of Communications Surveillance
How we comply with the books and records requirement has changed as technology has advanced.
- RegTech
- ComplianceAlpha
- eComms Surveillance
Building a Value-Generating Cybersecurity Portfolio Oversight Program
It has become imperative that private equity firms institute a programmatic approach to portfolio oversight, meaning oversight that is formally governed, applied consistently, and grows valuations.
- Cybersecurity
- Cybersecurity Resources
- Portfolio Company Risk Management
FINRA’s Latest Fee Schedule and Form BR Filing Updates for RSLs
On July 15, 2024, FINRA published an updated SRO/Jurisdiction Registration Fee Schedule that included a new column indicating which self-regulatory organizations (“SROs”) and jurisdictions recognized Residential Supervisor Locations (“RSLs”).
- Compliance
- FINRA
- Regulatory Deadlines
Potential Benefits of an ETF
ETFs have many advantages over traditional open-end funds, including costs, structures, tax, efficiencies, and market size.
- Distribution
- Mutual Fund
CrowdStrike Outage and Options for Remediation
An automated update released by CrowdStrike overnight had a technical issue that caused Windows devices receiving the update to crash.
- Cybersecurity
- Compliance
Charting your European Expansion: Exploring Pathways to New Markets
Learn practical insights and actionable steps for U.S.-based firms contemplating building a presence in the UK or seeking to market to EU investors without a permanent presence.
- Compliance
- FCA
- Mirabella
SEC Exam Sweep of T+1
We have reason to believe the SEC has begun its targeted examinations of investment advisers to assess their compliance with the T+1 transition.
- Compliance
- SEC
Advisers’ Concerns of Off-Channel Communications Surpasses the Marketing Rule as Top Compliance Concern, Survey Reveals
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey.
- ACA News
- Compliance
Case Study: Building a Cybersecurity Portfolio Company Oversight Program
This case study outlines how ACA Aponix helped Ara partners gain visibility to monitor and oversee its portfolio companies’ cyber health to drive value and reduce risk.
- Cybersecurity
- Portfolio Company Risk Management
Enhancing Off-Channel Communications Capture and Surveillance
This article provides actionable steps to set up an effective books and records surveillance program.
- RegTech
- eComms Surveillance
- ComplianceAlpha