Insights
New Marketing Rule Challenges for Real Estate Advisers
Advisers that focus on real estate strategies are working through some unique issues as they prepare to implement the provisions of the rule.
- Compliance
Future-Proofing Compliance Best Practices with Technology
Shifting demands in regulators on financial services firms have elevated the importance of compliance to best practices. Learn what compliance officers are focused on in their surveillance processes.
- RegTech
- ComplianceAlpha
- Compliance
Operational Resilience in Focus, Part Two: Operational Resilience and Cyber
In part two of our Operational Resilience in Focus series, we will discuss the details of the cyber and information security resilience domain.
- Cybersecurity
- Cybersecurity Resources
SEC Enforcement Action for Violating Reg BI Standards
The U.S. SEC filed an enforcement action against a broker-dealer and five of its registered representatives for violating certain provisions of Regulation Best Interest
- SEC
- Compliance
2022 Investment Management Compliance Testing Survey Results Released
For the second year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one worry for investment adviser compliance officers, according to the 2022 Investment Management Compliance Testing Survey.
- Compliance
Q3 2022 Regulatory Reporting Deadlines
SEC, FCA, ESMA, FINRA, and CFTC/NFA regulatory filing submission deadlines occurring from July through September 2022.
- Compliance
The SEC Approves Amendments to FINRA Rule 2231
The SEC approved a rule change to amend FINRA Rule 2231 with respect to Customer Account Statements. FINRA will announce the proposed change’s effective date shortly.
- Compliance
Hedge Fund Quarterly Update 2022 Q1
We are pleased to provide this latest update to keep you apprised of regulatory developments in the private fund and liquid alternatives space.
- Compliance
Private Markets Quarterly Update 2022 Q1
Learn more about recent regulatory developments industry insights in our Private Markets Quarterly Newsletter.
- Compliance
Marie Luchet Joins ACA Group as Managing Director for ESG
Marie Luchet has joined the firm as Managing Director of ESG, heading up the practice’s strategy and vision for Europe.
- ACA News