Insights
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
The Investment Manager’s Role in Mutual Fund Distribution
This article will discuss benefits and drawbacks to sponsoring and operating a proprietary fund trust or launching a product as a series of an existing shared trust.
- Distribution
ACA Group Named Most Preferred Workplace by Marksmen/India Today 2024-2025
ACA Honored with Marksmen/India Today Award for Most Preferred Workplace for 2024-2025
- ACA News
Scrutiny of Off-Channel Communications Capture, Archive, and Surveillance
This article will delve into the recent buzz around off-channel communications and how your firm can prepare for the increased regulatory scrutiny.
- RegTech
- ComplianceAlpha
- eComms Surveillance
Q3 2024 Regulatory Reporting Deadlines
Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from July through September 2024.
- Regulatory Deadlines
- Compliance
- SEC
- FINRA
- FCA
An Introduction to ETFs
ETFs have exploded in popularity for various reasons, such as ease of purchase, trading flexibility, and tax efficiency.
- Distribution
Managing Complex Fee Calculations
Fee transparency and accuracy are essential in building trust with your investors, and a recent focus for the SEC. This article shed light on how to mitigate risks associated with complex fee structures.
- Performance