Insights
The DOL Retirement Security Rule Stalled
The DOL was stalled in its most recent attempt to re-define an investment advice fiduciary under ERISA.
- Compliance
How to Successfully Cover a Broker-Dealer
Helping asset managers select and work with an intermediary.
- Compliance
Common AML Schemes: Virtual Currencies
Money launderers may use virtual currencies to transfer funds between accounts or to facilitate illegal transactions in a way that is difficult to trace.
- AML and Financial Crime
Severe Vulnerability Discovered in LoadMaster & Multi-Tenant Hypervisor
This critical flaw could lead to serious business disruptions, including data breaches and the potential loss of control over critical infrastructure.
- Cybersecurity
SEC Private Fund Unit Veteran Michele Foldenauer Joins ACA Group to Co-Lead Tech-Enabled Mock Examination Team
ACA Group is excited to announce that Michele Foldenauer has joined ACA Group as a Managing Director and a leader of our tech-enabled Mock Examination Team.
- ACA News
- Compliance
- Private Fund
Manage Communications Compliance with Confidence
Gain essential insights to help you build and maintain an effective digital communications governance strategy that meets global regulatory standards.
- eComms Surveillance
- ComplianceAlpha
- RegTech
ACA Group Named a 2024 DataTech50 Provider
ACA Group acknowledged as one of the most innovative tech companies offering data management solutions in financial services
- ACA News
- RegTech
Creating Value in a Cybersecurity Portfolio Oversight Program
A programmatic approach to cybersecurity portfolio oversight not only focuses on traditional downside risk management activities, but also on value creation opportunities.
- Cybersecurity
- Cybersecurity Resources
- Portfolio Company Risk Management
The SEC Unveils New N-PORT Reporting Amendments for Registered Investment Companies
Amendments to Form N-PORT will both increase the frequency of reporting and compress the reporting schedule for funds to report detailed information about their portfolio holdings.
- Compliance
What to Know About Direct Channels for Mutual Fund Distribution
This article will discuss the advantages and disadvantages of using an intermediary channel when distributing a mutual fund.
- Distribution