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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 2020 GIPS Standards: Explanation of the Provisions for Firms – Section 2

Section 2 of the Explanation of the Provisions focuses on clarifying the input data and calculation methodology requirements to be compliant with the 2020 GIPS standards.

Article
  • Performance
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Alliant and ACA Aponix Launch New Cybersecurity Offering, PortCo Protect

Alliant Insurance Services and ACA Aponix announced today the launch of a new cybersecurity risk mitigation and transfer solution offering, PortCo Protect, tailored to the needs of private equity managers and their portfolio companies.

News
  • ACA News
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The Regulatory Initiatives Grid and Implementing Regulatory Change in the UK

The Financial Services Regulatory Initiatives Forum (‘FSRIF’ or the ‘Forum’) recently published its Regulatory Initiatives Grid to help the financial services industry understand, and plan for regulatory change as a result of COVID-19. We examine the impact and areas of focus.

Compliance Alert
  • Compliance
Compliance Alert

SEC Examination Requests Related to COVID-19 Business Continuity and Operational Resilience

The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) announced in March that it intends to engage in an ongoing outreach with registrants to assess the impacts of COVID-19, including challenges impacting operational resiliency. In the last few weeks, ACA has seen an increase in the number of examinations announced by the SEC examination staff.

Compliance Alert
  • Compliance
  • BCP
  • COVID-19
  • Cybersecurity
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Regulation Best Interest Readiness Survey

We invite you to complete a short survey to provide insight and transparency into the various ways firms are preparing for Reg BI and Form CRS in preparation for the June 30, 2020 compliance deadline.

Survey
  • Compliance
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Key Considerations for Adjusting Your Compliance Program in the Age of COVID-19

In this blog post, we share peer insights into how financial firms’ CCOs are navigating today's challenges, evolving regulatory expectations, and looming economic realities, along with ACA's expertise into how CCOs can adjust their compliance programs for long-term success in this environment.

Article
  • Compliance
  • COVID-19
Oil and Gas Case Study

Case Study: Portfolio Risk Management for Oil & Gas

Read how a private equity energy investor experiencing increased cyber threats to its portfolio companies worked with ACA Aponix to deploy a comprehensive risk management solution to cover all of the firm’s oil and gas portfolio companies.

Case Study
  • Cybersecurity
  • Portfolio Company Risk Management
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Case Study: Holistic Risk Assessment for Lynx FBO Aviation

Read how Lynx FBO Network (Lynx) in the general aviation industry worked with ACA Aponix to execute a Holistic Technology and Cybersecurity Risk Assessment.

Case Study
  • Cybersecurity
  • Portfolio Company Risk Management
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FCA Business Plan 2020/21: Navigating the COVID-19 Crisis Amidst Longer Term Priorities

The FCA recently published its pragmatic yet ambitious annual Business Plan for 2020-21, which makes it clear that the current COVID-19 crisis will neither derail the regulator's multi-year strategy nor lead to a relaxation of its policing mission. We examine what the regulator's plans mean for financial services firms.

Compliance Alert
  • Compliance
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GoDaddy Breach Discovered

Web hosting giant GoDaddy® has suffered a breach affecting thousands of users, per reports of security researchers. The data breach occurred in October 2019, but was first discovered on April 23rd of this year.

Cyber Alert
  • Cybersecurity