Insights

July 27, 2022

We examine the challenges set to face firms over the next twelve months, including ESG, equivalence vs. divergence, the new world of work, transaction reporting, market surveillance, cyberthreat trends, the SEC’s new marketing rule, post-COVID recovery, the future of regulatory hosting, as well as FCA and SEC priorities.

July 25, 2022

Learn about the recommendations from the Task Force on Climate-Related Financial Disclosures (TCFD) to incorporate climate-related risks and opportunities into companies' decision-making processes.

July 22, 2022

ACA Group has been named one of the 100 most innovative AIFinTech companies in the financial industry by FinTech Global.

July 22, 2022

Advisers that focus on real estate strategies are working through some unique issues as they prepare to implement the provisions of the rule.

July 19, 2022

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.

July 14, 2022

In part two of our Operational Resilience in Focus series, we will discuss the details of the cyber and information security resilience domain.

July 14, 2022

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

July 13, 2022

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.

July 01, 2022

SEC, FCA, ESMA, FINRA, and CFTC/NFA regulatory filing submission deadlines occurring from July through September 2022.

July 01, 2022

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.