Insights
SEC Exam Sweep of T+1
We have reason to believe the SEC has begun its targeted examinations of investment advisers to assess their compliance with the T+1 transition.
- Compliance
- SEC
Advisers’ Concerns of Off-Channel Communications Surpasses the Marketing Rule as Top Compliance Concern, Survey Reveals
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey.
- ACA News
- Compliance
Case Study: Building a Cybersecurity Portfolio Company Oversight Program
This case study outlines how ACA Aponix helped Ara partners gain visibility to monitor and oversee its portfolio companies’ cyber health to drive value and reduce risk.
- Cybersecurity
- Portfolio Company Risk Management
Enhancing Off-Channel Communications Capture and Surveillance
This article provides actionable steps to set up an effective books and records surveillance program.
- RegTech
- eComms Surveillance
- ComplianceAlpha
Navigating the Future of Data Governance: Insights from ACA on Nasdaq TradeTalks
Carlo di Florio, Global Advisory Leader at ACA Group, recently joined a panel for Nasdaq TradeTalks to share his expertise on the critical role of data governance in the financial services industry.
- Artificial Intelligence (AI)
- Compliance
- Cybersecurity
OpenSSH Vulnerability Requires Immediate Action
A critical vulnerability has been discovered in OpenSSH, a widely used suite of secure networking utilities that provide encrypted communications over an unsecured network.
- Cybersecurity
Common AML Schemes: Cybersecurity Tactics
Cybercriminals often use a variety of online platforms and technologies to facilitate the laundering of illicit funds.
- AML and Financial Crime
The History of ETFs in the U.S.
From the launch of the first ETF in 1993, the market has continued to evolve in size and scope.
- Distribution
FINRA Alert Regarding Form BR for Residential Supervisory Locations
FINRA issued an alert to member firms advising them not to close or withdraw Form BRs for Residential Supervisory Locations
- Compliance
- FINRA
A Labour Government’s Regulation of the UK Asset Management Sector: Evolution, Not Revolution
The Labour Party vows to support innovation and growth for the asset management sector, but will they be able to deliver?
- FCA