Insights
ACA Celebrates Pride Month
ACA ALLiance, will host events and activities to recognize the contributions of LGBTQ+ individuals, educate employees about LGBTQ+ issues, and celebrate diversity.
- ACA News
ACA Group and Foreside Financial Group Complete Merger
The merger brings together two of the industry’s most well-respected GRC solutions providers. ACA and Foreside together will be positioned to transform the future of GRC, creating a world-class platform for the financial services industry.
- ACA News
SEC Proposes Amendments to Modernize the Investment Company “Names Rule”
On May 25th, the SEC released proposed rule amendments to the Investment Company Act “Names Rule” for investment companies and business development companies related to the naming of funds.
- ESG
What’s in a Name?
In May 2022, the SEC announced proposed amendments to Rule 35d-1, which requires that if a fund’s name suggests a focus in a particular type of investments, they must invest at least 80% of the value of its assets in those types of investments.
- Compliance
FCA Market Watch 69: Focus on Market Conduct and Transaction Reporting
The regulator discusses firms’ arrangements for market abuse surveillance - drawing on their observations from engaging with small and medium-sized firms.
- Compliance
- RegTech
- FCA
- Trade & Transaction
- Trade Surveillance
- ComplianceAlpha
SEC’s New ESG Disclosure Proposal Aims to Increase Transparency
The proposed rules require private funds to report ESG investing and integration practices.
- ESG
6 Strategies for Digitizing Your Compliance Program
This guide provides the strategies, insights, and resources for tech-enabling your compliance program and transforming it into a progressive powerhouse.
- RegTech
- ComplianceAlpha
Reviewing the Form ADV
Advisors must stay on top of changes in their firm, as well as regulatory updates, that could impact any part of their Form ADV.
- SEC
- Compliance
SEC Proposes Rule Amendments Regarding SPACs, Shell Companies, and Projections
The SEC issued a rule proposal to improve investor protections in connection with both initial public offerings made by SPACs, and de-spac transactions.
- Compliance
Sustainable Securitisation: White Whale or Inevitable Next Step in Evolution?
As investor interest in ESG rises, we examine the impact on the credit sector, and in particular the European Collateralised Loan Obligation (CLO) industry and ask, is it possible to satisfy investor demand and ESG regulations?
- ESG
- Compliance