Insights
FAQs: Top Questions Answered About the SEC's Marketing Rule
As the compliance date of November 4th nears, confusion about the SEC's new Marketing Rule continues. We answer the most commonly asked questions about the requirements of the rule.
- SEC
- SEC Marketing Rule
- Compliance
- Performance
FCA Market Watch 70: Regulator Sharpens Claws on Inadequate Reporting Arrangements
The FCA’s Market Watch 70 takes aim at failings in trade reporting arrangements, quickly followed up with a fine to a brokerage company and its directors. We provide practical guidance on how to spot your errors before the regulators do.
- FCA
- Trade & Transaction
- Compliance
SEC Reopens Select Comment Periods After Tech Glitch
The SEC reopened the public comment periods for certain proposed rules due to a technological error earlier this year. We share which proposed rules were affected and should be checked for accurate comment submission.
- SEC
- Compliance
- Cybersecurity
- ESG
Phishing as a Service (PaaS): Cybercriminals Turned Service Providers
Cybercriminals have become service providers offering Phishing as a Service (PaaS) on the dark web, with products such as one-time phishing kits or subscription offers to help others launch multiple attacks for a monthly fee.
- Cybersecurity
- Cybersecurity Resources
Political Backlash Might Be One of the Better Things to Happen to ESG in the U.S. Embrace it.
Support and understanding for ESG policies vary widely on the political landscape. Analyzing the range of arguments, both misleading and valuable, we break through the confusion and discuss how we can find a clear path through the uncertainty.
- ESG
ACA Group Named Best ESG Advisory Provider for the 2022 HFM US Services Awards
We are delighted to have been named Best ESG Advisory Provider by the 2022 HFM Service Awards. The awards recognize hedge fund service providers who have demonstrated exceptional client service, innovative product development, and strong and sustainable business growth.
- ESG
- ACA News
Regulatory Update October 2022
In our October Regulatory Update, we share unique insights and practical thought leadership on recent regulatory developments for investment advisers, private fund managers, broker-dealers, dual-registrants, and mutual funds.
- SEC
- Compliance
The Added Value of Influencing Portfolio Companies’ ESG Practices
An increasing number of investors are actively working toward building stewardship policies seeking to achieve improvements from the companies in which they invest.
- ESG
Simplify and Streamline Your Compliance Management with ACA’s New Quarterly C3 Solution
ACA just launched C3 Solution®: Quarterly, a new tech-enabled way to approach your annual compliance program review and ongoing compliance management tasks.
- ACA News
ACA Group Expands Electronic Communications Surveillance Capabilities in ComplianceAlpha Platform
The enhancements to ACA’s eComms surveillance technology include relationship forensics, machine learning, and an integrated archive to enable more effective internal investigations
- ACA News
- eComms Surveillance
- RegTech