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Insights

At ACA Group, our unique financial industry insights are informed by our real-world experience, deep subject matter expertise, and extensive client network.

GRC news and hot topics

Regulatory compliance insights and alerts

Cybersecurity alerts and insights

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ESG alerts and insights

GIPS® standards and performance alerts and insights

RegTech insights and alerts

Insights and alerts related to the SEC's new Marketing Rule

Guidance and insights on regulatory proposals, enforcements, and risk alerts

Regulatory change is here for Private Fund Advisers

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Cement Room

Preparing to Comply with the SEC’s New Marketing Rule

The SEC's New Marketing Rule compliance deadline is November 4, 2022 - closer than you think. In this article, we outline our implementation action plan.

Article
  • Compliance
  • Performance
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U.S. Senate Passes Act Requiring Faster Reporting of Cyber Incidents

New cybersecurity legislation may be coming for critical infrastructure companies, as the United States Senate passed the Strengthening American Cybersecurity Act on March 1st, 2022.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
Photo of Annie Morris, ACA's Chief Product Officer

Annie Morris Joins ACA Group as Chief Product Officer

Annie Morris has joined the ACA as Chief Product Officer (CPO) to lead ACA’s integrated product strategy and vision.

Press Release
  • ACA News
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Continued Developments in International Measures Against Russia

We explore how the continued regulatory developments from Western governments relating to Russia’s actions towards Ukraine affect financial firms.

Article
  • Cybersecurity
  • Cybersecurity Resources
  • AML and Financial Crime
  • Compliance
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SEC Sweep Inquiries and Enforcement Action of Unauthorized eComms

The SEC commenced sweep-style inquiries late last year into how big banks are monitoring, archiving, and safeguarding business-related electronic communications.

Article
  • Compliance
  • eComms Surveillance
  • RegTech
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Guidance on Impersonated Registered Domain Names

A summary of what to look for in a threatening domain and how to mitigate a substantiated threat

Article
  • Cybersecurity
  • Cybersecurity Resources
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NSCP Firm and CCO Liability Framework Can Ease CCOs’ Liability Concerns

The NSCP Framework is a practical approach to CCO liability that promotes investor protection and market integrity, addressing compliance professionals' fears of being held personally liable in unreasonable situations.

Article
  • Compliance
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ACA Celebrates Black History Month by Discussing Gaps in Health and Wellness

In honor of Black History Month, ACA's Connected Black Professionals Group hosted a number of speakers to discuss bridging the gap in health and wellness with ACA employees.

Article
  • ACA News
Compliance Alert

SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting

On February 10, 2022, the SEC voted to propose amendments regarding beneficial ownership reporting under Exchange Act Sections 13(d) and 13(g). The proposed rules would accelerate the filings deadline of Schedule 13D and 13G filings.

Compliance Alert
  • Compliance
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FCA Reminds Firms of their Financial Sanctions Obligations in the Light of New UK Measures Against Russia

The FCA has reminded firms of their financial sanctions obligations in the light of new UK measures against Russia. We outline key reminders and requirements for regulated firms to observe.

Compliance Alert
  • Compliance