Insights
ACA’s ESG Data and Analytics Solution Recognized for Its Impact on ESG Portfolios
Financial Services Review has named ACA Group’s ESG Data and Analytics solution, Ethos ESG, a “Top Wealth Management Solutions Provider” for 2022.
- ACA News
- ESG
ACA Group Announces Its Adoption of the CFA Institute Diversity, Equity, and Inclusion Code
ACA adopts the DEI Code, an action-oriented and principles-based framework through which to drive meaningful change concerning diversity, equity, and inclusion.
- ACA News
FINRA Provides Guidance on Succession Planning
FINRA has issued Regulatory Notice 22-23 to highlight the benefits of registered representative (RR) succession planning for customers, member firms, and the representatives themselves.
- Compliance
5 Things to Know About Leveraging ESG in Private Debt
We discuss the important role of sustainable investing strategies in private debt, and discuss the challenges and opportunities private lenders face in deploying an ESG framework.
- ESG
ACA’s ESG Data & Analytics Solution Certifies First Plant-Based ETF as Carbon Neutral
VegTech™ Invest’s Plant-Based Innovation & Climate ETF is recognized as the first plant-based innovation solution to meet ACA’s rigorous carbon neutrality certification
- ACA News
- ESG
FCA Fines UK Regulated Bank £1.5m for Poor Anti-Money Laundering Checks
The FCA recently fined a UK regulated bank £1.5 million for significant weakness in its financial crime systems and controls, having found serious shortcomings across the banks Anti-Money Laundering (AML) and Politically Exposed Persons (PEP) procedures.
- FCA
- Compliance
FINRA’s Amendments to Continuing Education Take Effect January 1st
Beginning in 2023, all registered representatives will be required to complete their CE Regulatory Element training annually by the end of each year.
- Compliance
ACA’s Daryn Levesque Recognized as Nicsa NOVA Emerging Leader Award Recipient
Senior Principal Consultant from ACA Foreside’s ETP Distribution Operations team recognized for outstanding contribution to the development of the global asset management industry.
- ACA News
SEC Proposes New Outsourcing Regulation for Advisers
The proposed rule requires investment advisers to ensure that third-party service providers can do their job before, and periodically after, being hired.
- Compliance
ACA Regulatory Update - November Edition
This month, we highlight the SEC’s crackdown on unmonitored messaging apps, their latest rule proposal addressing due diligence on service providers, and more.
- SEC
- Compliance