Insights
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
SEC Highlights Risks of Unapproved Communications via Mobile Apps
The SEC's enforcement actions against a private fund manager and its founder for alleged failures to track and surveil business-related communications highlights why using comprehensive and cutting-edge regulatory technology software tools is no longer an optional best practice.
- Compliance
- ComplianceAlpha
- RegTech
- Managed Services
- SEC
5 Important ESG Developments That Will Carry Into 2023
The ESG landscape is evolving at a rapid pace and requires additional resources to meet investor and regulatory expectations.
- ESG
2023 Regulatory Filings Calendar for Investment Advisers
Be prepared for the year ahead with our calendar of key regulatory reporting deadlines, on-going and annual regulatory obligations, and national holidays.
- Compliance
- Managed Services
- SEC
- FCA
- Regulatory Deadlines
Finalization of California Privacy Rights Act (CPRA) Is Pushed Back
The CPRA release will be pushed to April 2023, leaving existing rules in effect until then.
- Cybersecurity
Global Privacy Year-End Brief: What’s Happening Now & What to Expect in 2023
We summarize our recent Global Privacy webcast, which featured ACA Aponix's Alex Scheinman, Tyler Pearson, and independent privacy consultant Bill Schaumann.
- Cybersecurity
U.S. Regulatory Update – December 2022 Edition
This issue covers the SEC Division of Enforcement’s 2022 annual report, FINRA’s recent sweep of crypto-related communications, recently adopted mutual fund rules, and compliance concerns for real estate fund managers when interest rates rise.
- Compliance
FCA Fines Broking Firm and Bans Former Directors Over Reporting Failures
A global brokerage firm has been hit with a £531,000 FCA fine for failing to make reports crucial in fighting potential market abuse. Its board members were also fined and banned from management positions in FCA regulated firms. We assess how and why this happened and provide practical guidance to avoid similar enforcements.
- Compliance
- Trade & Transaction
- FCA
- ComplianceAlpha
- Trade Surveillance
ACA Group Selected as a RegTech100 Company for 2023
We are delighted to be named one the 100 most innovative RegTech companies in the financial industry by FinTech Global and RegTech Analyst for the 5th time!
- ACA News
- RegTech