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Private Markets Quarterly Update 2021 Q4

Learn more about recent regulatory developments industry insights in our Private Markets Quarterly Newsletter.

Newsletter
  • Compliance
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NFA Announces Extension of Relief from On-site Branch Inspections

The NFA issued a Notice to Members on February 1, 2022, extending relief from performing on-site annual branch office inspections.

Compliance Alert
  • Compliance
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Cyber Insurance: Top Five Trends for 2022

The first blog post in a multi-part series on cybersecurity insurance produced by ACA Aponix’s Thought Leadership Team. The objective of this series is to provide clients with the highest quality insights and expertise on the changing and evolving cyber insurance marketplace.

Article
  • Cybersecurity
  • Cybersecurity Resources
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SEC’s Examination Division Shares Observations Relating to Common Deficiencies Uncovered in Private Fund Manager Examinations

On January 27, 2022, the SEC’s Division of Examinations (EXAMS) shared observations relating to common deficiencies uncovered in the examination of private fund advisers over a five-year period. These observations are a sequel to, and supplement, the observations EXAMS shared in their June 2020 risk alert. In our in-depth analysis, we cover what firms need to know about this risk alert.

Compliance Alert
  • Compliance
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Transaction Reporting Errors Expose Huge Gaps for Market Abuse and Systemic Risk Monitoring

ACA Group research has detected more than 6 million transaction reporting errors across a sample of 30 review projects, averaging 200,000 errors per review, with 97% of reports under MiFIR/EMIR contain inaccuracies. These errors expose huge gaps for market abuse and systemic risk monitoring.

Press Release
  • Compliance
  • Trade & Transaction
  • ACA News
  • FCA
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When Push Comes to Breach: Hackers Use Push Notifications to Bypass MFA

Multi-factor Authentication, while effective and widely accessible method of security, can be used in a cybercriminals’ ever-growing hacking portfolio. Hackers can now include the misappropriation of push notifications to bypass MFA—without needing access to a victim’s device.

News
  • Cybersecurity
  • Cybersecurity Resources
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ACA and NSCP 2021 Cybersecurity Program Survey: Top 20 Findings

This report aims to highlight the top findings from the 2021 survey while also comparing results from years prior.

Survey
  • Cybersecurity
  • Cybersecurity Resources
ACA

Hedge Fund Quarterly Update 2021 Q4

Learn more about recent regulatory developments industry insights in our Hedge Fund Quarterly Newsletter.

Newsletter
  • Compliance
  • SEC
Compliance Alert

SEC Proposes Amendments to Private Fund Reporting

On January 26, 2022, the SEC voted to propose amendments to Form PF. The Proposed Rule is designed to enhance the data aggregated through private fund reporting. In our most recent blog, we break down the potential impacts of the proposal and what your firm needs to know.

Compliance Alert
  • Compliance
ACA

Urgent Action Required: ESMA Clarifies Reporting of Short Positions Above New 0.1% Threshold

Ahead of the impending change to the European short selling reporting threshold from 0.2% to 0.1% on the 31 January 2022, ESMA has reminded firms on reporting positions of more than 0.1% held over the transition period. Learn more about the changes:

Compliance Alert
  • Compliance