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Insights and alerts related to the SEC's new Marketing Rule

Guidance and insights on regulatory proposals, enforcements, and risk alerts

Regulatory change is here for Private Fund Advisers

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The SEC Targets Use of Predictive Data Analytics

Predictive data analytics can have a number of great uses in the financial industry. However, the SEC recently proposed rules to ensure advisers are not using it to harm investors.

Compliance Alert
  • Compliance
  • SEC
  • Artificial Intelligence (AI)
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ACA Foreside Celebrates Double Victory at 2023 ETF Express US Awards

ACA Group (ACA) is honored to be recognized by the exchange-traded fund (ETF) industry for two awards during the 2023 ETF Express U.S. Awards.

News
  • ACA News
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The CFTC Cracks Down on Recordkeeping Failures

The CFTC recently issued an order against an introducing broker and a futures commission merchant for violations of recordkeeping and supervision requirements. However, this is just one instance in the CFTC's crackdown.

Compliance Alert
  • RegTech
  • Compliance
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Are You FINRA Licensed?

Many asset managers come to us when they find out they can no longer rely on the issuer exemption and are faced with the dilemma of their staff promoting their funds. We break down the requirements to help you avoid this issue.

Article
  • Distribution
  • FINRA
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U.S. Regulatory Update – October 2023

The SEC's rulemaking and enforcement activity continues unabated. This issue also covers FINRA's remote inspections request, and NASAA's Reg BI report.

Newsletter
  • Compliance
  • Private Fund
  • SEC
  • SEC Marketing Rule
  • FINRA
  • ComplianceAlpha
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White Paper - Completing the Puzzle: A Global GIPS Compliant Firm Definition

The case for private markets to adopt the Global Investment Performance Standards (GIPS®).

Report
  • Performance
  • GIPS Standards
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ACA Group Launches New Solutions to Meet Full Scope of SEC’s Private Fund Adviser Rules

ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.

Press Release
  • ACA News
  • Private Fund
  • SEC
  • Compliance
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Strengthen Your AML Program

Firms need to be proactive in their approach to AML and sanctions compliance. Following this checklist can create a good foundation for an effective program.

Article
  • AML and Financial Crime
  • RegTech
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2024 SEC Examination Priorities: Remember the Essentials While Adapting to Change

The theme of this year's exam priorities is while compliance teams race to adapt to new and evolving regulatory requirements, they should not lose sight of compliance fundamentals.

Compliance Alert
  • SEC
  • Compliance
  • Performance
  • Cybersecurity
  • ESG
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The CFTC Proposes Changes to Regulation 4.7 (Registration Lite)

If passed, this rule proposal will bring significant changes to the most popular form of registration for commodity pool operators and commodity trading advisors.

Compliance Alert
  • Compliance