Insights

November 03, 2023

Predictive data analytics can have a number of great uses in the financial industry. However, the SEC recently proposed rules to ensure advisers are not using it to harm investors.

November 02, 2023

ACA Group (ACA) is honored to be recognized by the exchange-traded fund (ETF) industry for two awards during the 2023 ETF Express U.S. Awards.

November 02, 2023

The CFTC recently issued an order against an introducing broker and a futures commission merchant for violations of recordkeeping and supervision requirements. However, this is just one instance in the CFTC's crackdown.

November 01, 2023

Many asset managers come to us when they find out they can no longer rely on the issuer exemption and are faced with the dilemma of their staff promoting their funds. We break down the requirements to help you avoid this issue.

October 31, 2023

The SEC's rulemaking and enforcement activity continues unabated. This issue also covers FINRA's remote inspections request, and NASAA's Reg BI report.

October 26, 2023

The case for private markets to adopt the Global Investment Performance Standards (GIPS®).

October 24, 2023

ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.

October 23, 2023

Firms need to be proactive in their approach to AML and sanctions compliance. Following this checklist can create a good foundation for an effective program.

October 20, 2023

The theme of this year's exam priorities is while compliance teams race to adapt to new and evolving regulatory requirements, they should not lose sight of compliance fundamentals.

October 19, 2023

If passed, this rule proposal will bring significant changes to the most popular form of registration for commodity pool operators and commodity trading advisors.