Insights
Simplify and Streamline Your Compliance Management with ACA’s New Quarterly C3 Solution
ACA just launched C3 Solution®: Quarterly, a new tech-enabled way to approach your annual compliance program review and ongoing compliance management tasks.
- ACA News
ACA Group Expands Electronic Communications Surveillance Capabilities in ComplianceAlpha Platform
The enhancements to ACA’s eComms surveillance technology include relationship forensics, machine learning, and an integrated archive to enable more effective internal investigations
- ACA News
- eComms Surveillance
- RegTech
Penalizing Pirates: Hackers Push NullMixer Campaigns to Pilfer Data
A recent press release from Kaspersky warns of a malware that can steal users' personal information. We discuss how it works and our guidance for preventing an attack.
- Cybersecurity
SEC Issues Risk Alert for Municipal Advisors
The SEC issued a risk alert reminding municipal advisors of their regulatory obligations. We break down the primary deficiencies and weaknesses they discuss.
- SEC
- Compliance
Electronic Communications Recordkeeping Failures Cost Large Firms More than $1.1 Billion
The SEC fined 16 firms for failure to capture certain communications, and failure to supervise their employees by not detecting or preventing the use of unapproved devices. Find out what you need to know.
- eComms Surveillance
- Compliance
- RegTech
Russell Investments Selects ACA Group’s ARRMA Service to Enhance Regulatory Reporting
Leading global investment solutions firm chooses ACA’s ARRMA (ACA Regulatory Reporting Monitoring & Assurance) service to help manage its MiFIR and EMIR transaction reporting arrangements.
- Compliance
- Trade & Transaction
- RegTech
Regulatory Update Summer 2022
This edition provides unique insights on regulatory developments for investment advisers, private fund managers, broker-dealers, dual-registrants, and mutual funds.
- SEC
- Compliance
ACA Group Acquires Data Specialist Ethos ESG to Offer First Data Analytics Product
We’re pleased to announce that ACA Group has acquired Ethos ESG, a provider of environmental, social, and governance (ESG) ratings data and software for financial advisors, asset managers, institutions, and investors.
- ACA News
- ESG
SEC Announces Marketing Rule Compliance as Exam Priority
With the SEC's new Marketing Rule starting in just a few short weeks, the Division of Examinations has issued a Risk Alert sharing the top focus areas that exams will be focused on.
- SEC
- SEC Marketing Rule
- Compliance
Interval Funds Basics
In this article, we break down the fundamentals of interval funds, discussing the core concepts behind these non-traditional mutual funds.
- Compliance
- Distribution