Insights
Why Building and Maintaining Robust Compliance Programs Has Become Increasingly Important for ERAs
As fiduciaries become increasingly subject to SEC inspection, ERAs should consider adopting compliance policies and procedures relevant to their operations to mitigate regulatory risks.
- Compliance
- SEC
SEC Cybersecurity Rule 206(4)-9 Expected to Be Finalized in April 2023
The SEC’s rule will establish new requirements for firms’ cybersecurity programs while strengthening investors’ confidence in the security of their investments.
- Cybersecurity
- Cybersecurity Resources
- SEC
The SEC Plans to Finalize ESG-Related Rules in 2023
The SEC's Regulatory Flexibility Agenda outlines another ambitious year of ESG rulemaking, which will impact many aspects of the U.S.'s financial markets and its investors.
- ESG
- SEC
Updated FAQ About the SEC Marketing Rule Performance Requirements
The SEC released an updated FAQ on January 11, 2023 clarifying requirements around gross and net performance obligations for one investment or a group of investments (i.e., extracted performance).
- Compliance
- Performance
- SEC Marketing Rule
- SEC
Q1 2023 Regulatory Reporting Deadlines
Investment advisers must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from January through March 2023.
- Regulatory Deadlines
- Compliance
Case Study: Helping a Leading Hedge Fund Address Transaction Reporting Errors
How ACA’s Regulatory Reporting Monitoring & Assurance (ARRMA) helped one of Europe’s leading alternative asset management firms fund identify, resolve, remediate, and prevent future MiFIR transaction reporting errors.
- Trade & Transaction
- Compliance
Five Things to Know About ESG Data Providers
The ESG landscape is evolving rapidly and may require advisers to seek additional resources to meet investor and regulatory expectations. Read our five key areas to consider when evaluating your needs and options.
- ESG
ACA's Top White Papers of 2022
We wanted to take a moment to look back at our most popular white papers of 2022 and the advice they provide for financial firms.
- Compliance
- Cybersecurity
- Managed Services
- ESG
- RegTech
- ComplianceAlpha
- Performance
ACA's Top Webcasts of 2022
Our most popular webcasts of 2022 discuss the regulatory change that occurred throughout the year and how firms can adjust to new requirements.
- Compliance
- ComplianceAlpha
- Cybersecurity
- ESG
- Performance
LastPass Breach Included Encrypted and Unencrypted User Data
Clients should consider updating their master password
- Cybersecurity