Insights
Insider Trading: Recent SEC Charges Present Cautionary Lessons
Many private markets fund managers don’t think they need insider trading prevention controls but, investment in privately-held companies can have risk exposure.
- Compliance
Cybersecurity And The Workplace: Part 1
This first post in the series, Cybersecurity in the Workplace series aims to breakdown the implications of current trends in the workplace beginning with the threat posed by employee burnout.
- Cybersecurity
- Cybersecurity Resources
California Senate Passes Greenhouse Gas Emissions Reporting Requirements
The California State Senate passed SB-260, which would require all companies with over $1 billion in revenue that operate or do business within California to begin reporting on their greenhouse gas emissions.
- ESG
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.
- Compliance
- Performance
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.
- Cybersecurity
- Cybersecurity Resources
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.
- ACA News
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.
- Cybersecurity
- Cybersecurity Resources
- AML and Financial Crime
- Compliance
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.
- Compliance
- eComms Surveillance
- RegTech
Guidance on Impersonated Registered Domain Names
A summary of what to look for in a threatening domain and how to mitigate a substantiated threat
- Cybersecurity
- Cybersecurity Resources
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.
- Compliance