Insights
SEC Issues First ESG-Related Enforcement Action Against an Investment Adviser
SEC settles charges with the Investment Advisor for $1.5 Million
- ESG
- SEC
Operational Challenges with Performance Calculation and Reporting
Strengthen performance calculation and reporting processes to combat the opportunity for error caused by heightened investor scrutiny and new regulatory requirements.
- Compliance
- Performance
CISA Issues Emergency Directive and Cybersecurity Advisory for VMware Vulnerabilities
The Cybersecurity & Infrastructure Security Agency (CISA) issued Cybersecurity Advisory (CSA) AA22-138B and Emergency Directive (ED) 22-03 alerting users to active vulnerabilities susceptible to exploitation in several VMware products.
- Cybersecurity
- Cybersecurity Resources
May 2022 Broker-Dealer Newsletter
ACA's Broker-Dealer team invites you to download the latest edition of our newsletter
- Compliance
The FCA’s 2022/23 Business Plan and Three-Year Strategy: Key Takeaways
Key takeaways from the FCA's recent three-year Strategy, setting out aims to improve outcomes for UK consumers and markets, as well as the FCA’s 2022/23 Business Plan, with actions to be taken by the FCA over the next twelve months.
- Compliance
- FCA
Compliance Challenges for Open-End Real Estate Vehicles
Understanding the key elements of operating an open-end real estate vehicle is pivotal to evaluating risks and implementing sufficient compliance oversight.
- Compliance
Global Cybersecurity Authorities Warn of Cyber Threats Against Managed Service Providers
The joint Cybersecurity Advisory (CSA) advises that MSPs, are prime targets for cyber-attacks, a trend likely to continue for the foreseeable future, as threat actors aim to exploit the innate trust in MSP-customer relationships.
- Cybersecurity
- Cybersecurity Resources
SEC’s Climate & ESG Task Force Issues First Enforcement Action
SEC Claims Mining Company Mislead Investors
- ESG
- SEC
The 2022 Investment Management Compliance Testing Survey is Now Open
The survey, now in its 17th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.
- Compliance
A Drop of Clarity in the Regulatory Sea of Change
As we tentatively emerge into the post-pandemic world, the global financial industry has a myriad of regulatory hurdles to navigate. We provide guidance on key areas that firms will need to focus on in the coming months.
- Compliance
- ESG
- SEC Marketing Rule