Insights
Registered Investment Company Initiatives Exam Observations
The U.S. Securities and Exchange Commission’s Division of Examinations issued a Risk Alert that provides observations from examinations conducted as part of the Division’s registered investment company initiatives.
- Compliance
- SEC
Private Equity Firms Report Receiving Phishing Emails and Scam Capital Calls
Private Equity Firms, their investors and their portfolio companies have recently been targeted in phishing attacks.
- Cybersecurity
- Cybersecurity Resources
- Phishing
Early Signs of a Significantly More Expansive Approach to SEC Examinations of Private Markets Fund Managers
While it is too early to characterize as a trend, in Q2 2021, we started to see early signs of a significant expansion in the scope of SEC exams involving private markets fund managers.
- Compliance
Common Practices of GIPS®-Compliant Firms
The most common question we receive from our GIPS standards verification clients is “What do other firms do?” As a result of being asked this question many times, we gathered information from over 800 firms we verify in order to provide answers to commonly asked questions that are based on real data versus anecdotal information.
- Performance
Breaking Down Surveillance Data Silos to Achieve Risk-360
Key takeaways from the recent AIMA Fund Manager Briefing Webcast on Breaking the Surveillance Silos featuring ACA’s Pat Conroy and Marc Salter.
- RegTech
- Trade Surveillance
- eComms Surveillance
- Managed Services
Q&A: Understanding the new Remuneration Rules under the UK’s Investment Firms Prudential Regime
The UK’s Investment Firms Prudential Regime (“IFPR”) comes into force in less than 50 working days. Its more prescriptive approach to remuneration introduces new complications and challenges for firms. This essential Q&A helps you better understand your remuneration rule requirements.
- Compliance
- Managed Services
Personal Information Protection Law (PIPL) FAQs
The People’s Republic of China (PRC) has passed robust data privacy regulation that governs data security and personal information processing. This FAQ addresses questions firms may have about the nature of this legislation and its requirements.
- Cybersecurity
- Privacy
FCA Warn of 'Tough, Assertive Approach’ to Brexit TPR Landing Slot Authorisations
The FCA recently warned of "a tough, assertive approach" to financial services firms wishing to continue to operate in the UK post the Brexit Temporary Permissions Regime. Learn more about why this leaves firms at risk of being prevented from initiating further regulated activity in the UK.
- Brexit
- Compliance
SEC Chairman Gensler Signals an Increase in Scrutiny & Regulation of Private Markets Fund Industry
SEC Chariman Gary Gensler recently signaled increased scrutiny of private markets fund managers. He honed in on the significant increase in the private equity and venture capital fund industry over the last 5 years.
- Compliance
- SEC
Michael Borts joins ACA Group as the new Chief Technology Officer
Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.
- RegTech
- ACA News