Insights
Tip for Updating Your Compliance Program: Continuing Education Requirements
In the second article in our series of tips for understanding the SEC's 2023 focus areas, we discuss our recommendations for keeping tabs on continuing education requirements.
- Compliance
- SEC
Tip for Updating Your Compliance Program: SEC Focus on Hedge Clauses
In the first article in our series of tips for understanding the SEC's 2023 focus areas, we discuss the regulator's focus on hedge clauses in advisory agreements.
- Compliance
ACA Reflects on Black History Month Celebrations
Our Connected Black Professionals employee resource group continues to foster a positive and inclusive environment for all employees through initiatives that highlight outstanding achievements and celebrate black legacy and strength.
- ACA News
SEC Regulation Best Interest (Reg BI) Exam Observations Risk Alert
The SEC Division of Examinations issued a risk alert describing its observations of Regulation Best Interest deficiencies during broker-dealer exams.
- SEC
- Compliance
ESG Issue Brief: Sustainable Resource Use
There are both financial and ethical considerations when making investments that support sustainable resource use. We discuss how both can help inform a holistic investment strategy.
- ESG
Q&A For Common Marketing Rule Performance Calculation Questions
We’ve put together responses for some of the most common questions we get asked to help your firm meet the requirements of the Marketing Rule.
- SEC Marketing Rule
- Performance
U.S. Regulatory Update – February 2023 Edition
This month we share updates about the SEC’s amendments to Rule 10b5-1 related to corporate issuer insider trading programs, the several new state privacy law taking effect this year, and more.
- SEC
- Compliance
ESG Issue Brief: Climate Action
We discuss the emotional and financial considerations for understanding how companies and funds impact climate action.
- ESG
The Importance of Insider Trading Controls for Private Markets
The risk of involvement in insider trading has intensified for private markets fund managers, who often underestimate their exposure to insider information.
- Managed Services
- Compliance
- RegTech
- ComplianceAlpha
- eComms Surveillance
- Trade Surveillance
ACA Group Taps Global Talent with New Office in Pune, India
On February 13th, ACA's new office in Pune, India will open adding to ACA’s “follow the sun service,” which will support clients around the clock and improve project turnaround times.
- ACA News