Insights
Tips for Preparing Your SEC Form ADV 2025 Update
Learn valuable tips for updating your SEC Form ADV to ensure a smooth process. Reach out to find out how we can transform your firm’s compliance program.
- Compliance
- SEC
Building an Effective Compliance Program - Whitepaper
Key considerations for compliance with the SEC and FCA.
- Compliance
- SEC
- FCA
2025 FINRA Annual Regulatory Compliance Oversight Report
Read the latest insights from the 2025 FINRA Annual Regulatory Oversight Report and how ACA Signature can guide your firm through the evolving landscape.
- Compliance
- FINRA
The SEC’s Valentine’s Day Gift to Asset Managers: An Extension of the Short Sale Reporting Deadline
Learn about the SEC's Valentine's Day gift to asset managers, an extension of the short sale reporting deadline, providing firms with more time for compliance.
- SEC
- Compliance
- Regulatory Deadlines
Case Study: Comprehensive GIPS Management and Oversight
By outsourcing the management of its GIPS standards framework, the firm achieved efficiency and scalability, allowing internal teams to focus on core investment responsibilities while mitigating the risk of falling out of compliance with the GIPS standards.
- Performance
- GIPS Standards
Fraudsters Actively Impersonating Financial Services Executives: Firms Should be on High Alert for Similar Attacks
Firm employees and executives are being actively impersonated in WhatsApp messaging scams causing significant financial harm to investors.
- Cybersecurity
Urgent Patching Required to Address 7-Zip Mark-of-the-Web Bypass Vulnerability
Attackers are exploiting a 7-Zip flaw to spread SmokeLoader malware, bypassing Windows security warnings via phishing. Users must manually update to version 24.09+ to stay protected.
- Cybersecurity
Case Study: Streamlining Investment Performance Calculations and Vendor Due Diligence
Our investment performance team helped a fund of fund manager meet the SEC’s Marketing Rule requirements and provide outsourced performance calculations to help them expand into the SMA business.
- Performance
- SEC Marketing Rule
ILPA's Revised Reporting Template for the Private Equity Industry
The Institutional Limited Partners Association (ILPA) recently released a new version of the ILPA Reporting Template.
- Performance
Bridging ESG Data Gaps with Technology
The goal is for companies to provide transparent, robust, and comparable ESG data that meets the needs of all stakeholders. However, aligning ESG data with investor and regulatory expectations is a complex goal.
- ESG