Insights
SEC Strategic Plan: More Enforcement, More Rules, and More Technology
The SEC issued its four-year strategic plan for 2022-2026. We summarize the goals of the plan and explore what it means for the next four years.
- Compliance
- SEC
- Cybersecurity
- ESG
- RegTech
Warning! Could a Political and Economic Omnishambles be Brewing for the Private Markets?
With an economic storm stemming largely from political ideology, we examine what impact this geopolitical and macroeconomic uncertainty has on the private markets.
- Compliance
- FCA
- SEC
- Managed Services
DOL to Allow for ESG Considerations in Plan Investments
The DOL issued a rule that allows plan fiduciaries to take ESG factors into account when selecting retirement investments and exercising shareholder rights.
- ESG
The Global GRC Risks of Unauthorized Business Communication Channels
Communication has always been integral to the investment world and, as technology evolves and expands, the need for adequate and equally evolved surveillance mechanisms has grown. More widespread use of mobile apps and communication tools such as WhatsApp became increasingly prevalent during the various COVID lockdowns as professionals sought to maintain connection with one another. Habits are quickly formed, and so convenient mobile app usage has become an integrated part of work communications.
- Compliance
- RegTech
- ComplianceAlpha
- FCA
- SEC
ACA’s ESG Data and Analytics Solution Recognized for Its Impact on ESG Portfolios
Financial Services Review has named ACA Group’s ESG Data and Analytics solution, Ethos ESG, a “Top Wealth Management Solutions Provider” for 2022.
- ACA News
- ESG
ACA Group Announces Its Adoption of the CFA Institute Diversity, Equity, and Inclusion Code
ACA adopts the DEI Code, an action-oriented and principles-based framework through which to drive meaningful change concerning diversity, equity, and inclusion.
- ACA News
FINRA Provides Guidance on Succession Planning
FINRA has issued Regulatory Notice 22-23 to highlight the benefits of registered representative (RR) succession planning for customers, member firms, and the representatives themselves.
- Compliance
5 Things to Know About Leveraging ESG in Private Debt
We discuss the important role of sustainable investing strategies in private debt, and discuss the challenges and opportunities private lenders face in deploying an ESG framework.
- ESG
ACA’s ESG Data & Analytics Solution Certifies First Plant-Based ETF as Carbon Neutral
VegTech™ Invest’s Plant-Based Innovation & Climate ETF is recognized as the first plant-based innovation solution to meet ACA’s rigorous carbon neutrality certification
- ACA News
- ESG
FCA Fines UK Regulated Bank £1.5m for Poor Anti-Money Laundering Checks
The FCA recently fined a UK regulated bank £1.5 million for significant weakness in its financial crime systems and controls, having found serious shortcomings across the banks Anti-Money Laundering (AML) and Politically Exposed Persons (PEP) procedures.
- FCA
- Compliance