Insights
Q2 2024 Regulatory Reporting Deadlines
Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from April through June 2024.
- Regulatory Deadlines
- Compliance
- SEC
- FINRA
- FCA
Cybersecurity Benchmarking Survey Lists Top Concerns and Preparedness Among Respondents
Our annual survey in partnership with NSCP reveals that investment firms overlook AI as a cybersecurity risk and remain wary about SEC cybersecurity enforcement and compliance with new rules
- Cybersecurity
- Cybersecurity Resources
- ACA News
ACA Group Launches Dedicated Practice Group Providing GRC Solutions for Wealth Managers
ACA Wealth sets a new standard in GRC support for wealth managers, providing unmatched expertise and comprehensive solutions to address evolving regulatory requirements.
- ACA News
Anti-Money Laundering Procedures - A UK Regulatory Focus
The FCA recently warned Annex 1 firms about common failings in financial crime controls. We look at the wider implications and tone of this warning.
- AML and Financial Crime
- Compliance
- ComplianceAlpha
The SEC Expands the Definition of Dealer
The SEC Adopted two new rules that may require some hedge funds and proprietary trading firms to register as broker-dealers and become FINRA members.
- Compliance
Sharpen Your Pencils: Form ADV Updates are Due March 30
Advisers with a December 31 fiscal year end must file the annual amendment to Form ADV by March 30. Here are a few things to keep in mind when preparing the update.
- Compliance
- SEC
The SEC's Climate Disclosure Rule: A Reminder That Climate-Related Risks May Be Material
The SEC finalized the much-debated climate disclosure rule citing the importance of providing investors with standardized and centrally located climate-related disclosures.
- ESG
- SEC
White Paper: Regulatory History Frames Current Issues for the ETF Industry
We partnered with K&L Gates to look back at the evolution of the ETF industry in the U.S. over the past 30 years. The themes highlighted in this paper will likely guide the continuing evolution of ETFs.
- Distribution
Strategies to Transform Your Compliance Program with Technology - #4: Planning
Plan your technology implementation thoughtfully, step by step.
- RegTech
- ComplianceAlpha
Benchmarking Insights: Tracking the Impact of the Private Fund Adviser Rules
We captured insights into the Private Fund Adviser Rules through a series of polling questions and examine what they mean for firms.
- Private Fund
- SEC
- Compliance
- Performance