Insights

January 26, 2023

We discuss the latest Risk Alert from the SEC’s Division of Examinations, the DOL’s change of heart on ESG for plan investments, and the SEC’s rule proposals to change the equity markets.

January 25, 2023

Prepare for the year ahead with our calendar of key FINRA regulatory filing deadlines in addition to other responsibilities at a glance to help you track your firm’s regulatory obligations.

January 18, 2023

As fiduciaries become increasingly subject to SEC inspection, ERAs should consider adopting compliance policies and procedures relevant to their operations to mitigate regulatory risks.

January 17, 2023

The SEC’s rule will establish new requirements for firms’ cybersecurity programs while strengthening investors’ confidence in the security of their investments.

January 17, 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.

January 12, 2023

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).

January 10, 2023

Investment advisers must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from January through March 2023.

January 09, 2023

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.

January 09, 2023

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.

December 30, 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.