Insights
Checking Your Own Homework: The Need for Cybersecurity Independence
The consolidation of information technology and information security providers has unintended consequences including an increased risk of cybersecurity incidents and operational disruption.
- Cybersecurity
Private Fund Restricted Activities and Preferential Treatment Rules Breakdown
The Restricted Activities Rule focuses on transparency, disclosures, and consent while the Preferential Treatment Rule bans private fund advisers from providing preferential information to investors.
- Private Fund
- SEC
- Compliance
2024 Cybersecurity Benchmarking Survey
ACA has partnered with NSCP to gather data on cybersecurity trends, policies, and challenges across the financial services industry.
- Cybersecurity
Strategies to Transform Your Compliance Program with Technology - #2: Work Smarter
A blend of technology for automation and managed services for outsourcing can reduce the manual workload and guesswork for you and your team.
- ComplianceAlpha
- RegTech
Private Fund Quarterly Statement Rule Breakdown
The Private Fund Quarterly Statement Rule requires a quarterly statement that includes information regarding fees, expenses, and performance to the private fund’s investors.
- Compliance
- Performance
- Private Fund
2024 FINRA Regulatory Filings Calendar
Prepare for the year ahead with our FINRA regulatory filings calendar. Our at-a-glance calendar provides key reporting deadlines and on-going and annual regulatory obligations in an easy to understand format.
- Compliance
2024 Regulatory Filings Calendar for Investment Advisers
Our calendar provides key reporting deadlines and regulatory obligations for investment advisers registered with the SEC, CFTC, NFA, UK FCA, and ESMA.
- Compliance
- SEC
- FCA
Reporting of Securities Lending Transactions
The SEC recently approved a rule requiring securities lending transactions to be reported to FINRA within 15 minutes of completion.
- Compliance
Demystifying the Private Fund Adviser Rules
The Private Fund Adviser Rules significantly impact how firms deal with investors, including requiring increased disclosure of fees and expenses, investments, and performance.
- Private Fund
- Compliance
- Performance
U.S. Regulatory Update – Winter 2023
This update covers the SEC's 2023 enforcement results, implications of the Corporate Transparency Act, the DOL's new fiduciary rule proposal, the CFTC's new blueprint for enforcement, and more.
- Compliance
- Cybersecurity