Insights
Celebrating Asian and Pacific Islander American Heritage Month
May is Asian and Pacific Islander American Heritage Month, and we are happy to celebrate with the launch of our Asian Pacific Islander Employee Resource Group!
- ACA News
SEC Increases The Size Of Their Crypto Assets and Cyber Unit
With new challenges and risks crypto poses to investors, the U.S. Securities and Exchange Commission endeavors to dedicate more resources to protect market participants from securities law violations related to crypto.
- Cybersecurity
- Cybersecurity Resources
- Compliance
Regulatory Technology Trends to Watch for in 2022
We’ve compiled the top technology-related trends, insights, and resources compliance leaders need to know to maintain an efficient and effective compliance program.
- RegTech
- Compliance
ACA Mirabella Awarded HFM's Title of Best Regulatory Hosting Platform
ACA Mirabella are recognised as the hedge funds preferred provider, having once again been presented the title of Best Regulatory Hosting firm at the 2022 HFM European Services Awards. This is the seventh year in a row that ACA Mirabella has taken this title. Learn more about this win here.
- Mirabella
- Compliance
- ACA News
Cybersecurity And The Workplace: Part 3
In part 3 of our series, we discuss how to confront cybersecurity workforce shortages through flexible hiring and retention strategies
- Cybersecurity
- Cybersecurity Resources
Transaction Reporting Still Not a Priority for Firms, Despite Recent ESMA Fine
New research reveals that confidence among financial services firms in the quality of their own transaction reporting is declining – down to 65% from 87% in 2021. This confirms concerns around inaccurate regulatory reporting leading to fears of undetected market abuse and an inability to monitor for systemic risks.
- Compliance
- FCA
- Trade & Transaction
New FCA Climate-Related Disclosure Obligations: Start Planning Now
Enhanced FCA climate-related disclosures come into play for many asset managers from 1 January 2023. Compliance is closely aligned to the Taskforce on Climate-Related Financial Disclosures (“TCFD”). Download our guidance sheet to start planning for the upcoming changes.
- Compliance
- FCA
- ESG
Summary of FINRA Regulatory Actions in 2021
FINRA brought 126 enforcement actions and issued fines totaling almost $100M in 2021. In comparison, FINRA only issued a total of $57M in fines during 2020.
- Compliance
UPDATE: Okta Concludes Investigation, Determines Only Two Tenants Affected
An update from a previous cyber alert. Okta has revealed the impacted customers trace back to a January security incident.
- Cybersecurity
- Cybersecurity Resources
Bungled Family Account Aggregation Can Cause Compliance Aggravation for RIAs
Family account aggregation, commonly known as householding, can help clients to save money on their investment advisory fees.
- Compliance