Insights
SEC Spotlights Testimonials, Endorsements, and Third-Party Ratings in Latest Exam Risk Alert
The SEC is examining investment advisers' compliance with the Advisers Act Marketing Rule. Advisers should be prepared for comprehensive examinations of their marketing practices.
- Compliance
- SEC
- SEC Marketing Rule
Fortinet releases security advisory for critical heap-based overflow vulnerability
Fortinet's June 12th advisory warns of a critical vulnerability (CVE-2023-27997) rated 9.8/10 by NIST. FortiOS and FortiProxy SSL-VPN users are at risk of system access by hackers.
- Cybersecurity
Celebrating Jennifer Coombs: InvestmentNews 40 Under 40 Honoree for 2023
Jennifer Coombs, Director of Client Success at ACA, was recognized on InvestmentNews 40 Under 40 list. Her pioneering work in sustainable investing and chartered SRI counselor program showcases commitment to positive change in finance.
- ACA News
- ESG
Myths About Cybersecurity Portfolio Oversight: Myth #1
Cyber threats are on the rise, making robust cybersecurity oversight essential for protecting investments. We debunk a common myth about portfolio oversight.
- Cybersecurity Resources
- Cybersecurity
- Portfolio Company Risk Management
Rest, Recharge, and Renew Week 2023: A Time to Reconnect with What Matters
ACA will be closed Monday, July 3, through Friday, July 7, 2023 for Rest, Recharge, and Renew week ("RRR week"), in an effort to show our appreciation for our employees' hard work. We encourage our staff to use this time to invest in their well-being.
- ACA News
Critical MOVEit Transfer Vulnerability Updates
Progress Software discovered a critical SQL injection vulnerability (CVE-2023-34362) on May 31st in the MOVEit Transfer software which allowed unauthorized access to the Transfer environment and escalated privileges.
- Cybersecurity
Love is Love: ACA Group Celebrates Pride Month and Inclusivity
ACA celebrates Pride Month in June with the theme Love is Love, hosting initiatives like a panel and book club selection that explore identity and belonging. We aim to create an inclusive workplace free from discrimination and are dedicated to enhancing LGBTQIA+ lives through education, advocacy, and community outreach.
- ACA News
EU/UK Announce Memorandum of Understanding – What does that mean for Financial Services Firms?
In May the EU and UK announced a draft MoU for regulatory cooperation in financial services, establishing a framework for close cooperation and avoiding regulatory divergence.
- Compliance
13 Key Elements for Successful Cybersecurity Portfolio Oversight
Our cyber team has identified the key elements of successful programmatic cyber oversight. By adopting these elements, firms can avoid value destruction, meet investor expectations, and increase valuations of their portfolio.
- Cybersecurity
- Cybersecurity Resources
- Portfolio Company Risk Management
Tips for Updating Your Compliance Program: Shareholder Reporting Requirements and Amendments to Advertising Rules
The SEC's new rule amendments for mutual funds and ETFs aim to provide concise shareholder reports and require physical delivery instead of online posting.
- Compliance
- SEC
- Mutual Fund