Insights
Watch ACA's RegTech in Action Demo Series
Tune in to watch individual demos of our regulatory technology solutions in our RegTech in Action series.
- ComplianceAlpha
SEC Proposed Rule Includes New 48-Hour Cyber Incident Reporting Requirement
According to the SEC proposed Rule 206(4)-9, RIAs and private funds must now submit a confidential report to the SEC within 48 hours from when a “significant cyber incident” is discovered.
- Cybersecurity
- SEC
SEC Sends $1.1 Billion Warning to Financial Firms that Ignore Record-keeping Requirements
$1.1BN of fines were recently issued to sixteen high-profile financial services firms for communication failings, with more regulatory enforcement expected. Learn more about what this means for SEC-registered firms around the world.
- Compliance
- RegTech
- SEC
ACA Group Acquires Compliance Resource Partners
ACA Group is delighted to welcome the team at Compliance Resource Partners, Inc., who will strengthen ACA's suite of leading GRC professionals and diversified services.
- ACA News
ACA Group Selected as an ESGFinTech100 Company for 2022
ACA Group is proud to be named an ESGFinTech100 company, an honor given to the world's most innovative ESG tech companies for financial services.
- ACA News
- ESG
ESG Portfolio Monitoring
Private market investors have been on the forefront of embracing sustainable investing and incorporating ESG considerations into their decision-making processes.
- ESG
FAQs: Top Questions Answered About the SEC's Marketing Rule
As the compliance date of November 4th nears, confusion about the SEC's new Marketing Rule continues. We answer the most commonly asked questions about the requirements of the rule.
- SEC
- SEC Marketing Rule
- Compliance
- Performance
FCA Market Watch 70: Regulator Sharpens Claws on Inadequate Reporting Arrangements
The FCA’s Market Watch 70 takes aim at failings in trade reporting arrangements, quickly followed up with a fine to a brokerage company and its directors. We provide practical guidance on how to spot your errors before the regulators do.
- FCA
- Trade & Transaction
- Compliance
SEC Reopens Select Comment Periods After Tech Glitch
The SEC reopened the public comment periods for certain proposed rules due to a technological error earlier this year. We share which proposed rules were affected and should be checked for accurate comment submission.
- SEC
- Compliance
- Cybersecurity
- ESG
Phishing as a Service (PaaS): Cybercriminals Turned Service Providers
Cybercriminals have become service providers offering Phishing as a Service (PaaS) on the dark web, with products such as one-time phishing kits or subscription offers to help others launch multiple attacks for a monthly fee.
- Cybersecurity
- Cybersecurity Resources