Insights
Updates to the Names Rule Finalized by the SEC
The updates to the SEC’s Names Rule modernizes the rule, but it also has implications for funds that use ESG terms in their name and strategy.
- SEC
- ESG
FAQ About the SEC’s Proposed Rule for Enhanced Disclosures on ESG Investment Practices
We compiled answers to the most common questions we get asked about the SEC’s proposed rules for enhanced disclosures of ESG investment practices.
- SEC
- ESG
Advisory Firm Settles Cherry Picking Fraud Charges With the SEC
This case should give pause to firms of all sizes to evaluate what they are doing to proactively detect potential market abuse on their own.
- RegTech
- ComplianceAlpha
- SEC
- Compliance
Cultural Connections: ACA's HOLA ERG Celebrates Hispanic Heritage Month
ACA is proud to celebrate Hispanic Heritage Month from September 15 - October 15 alongside our Hispanic/Latinx Organization for Leadership and Advancement (HOLA) Employee Resource Group (ERG)!
- ACA News
CFA Institute Releases Draft Guidance Statement for OCIO Strategies
The CFA Institute released an Exposure Draft Guidance Statement for OCIO Strategies to encourage more outsourced Chief Investment Officers to claim GIPS compliance.
- Performance
Lessons Learned From Recent AML Enforcement Actions
By analyzing recent cases, institutions can identify regulatory trends and enhance their compliance framework to mitigate potential risks.
- AML and Financial Crime
- ComplianceAlpha
- RegTech
Market Makers – What You Should Know
Market makers are broker-dealer firms that provide pricing for ETFs and liquidity in the secondary market.
- Distribution
SEC Private Fund Adviser Rules: What Made the Cut
The SEC recently voted to adopt new rules and amendments, known as the Private Fund Adviser Rule. Here's a summary of the new rules and how they changed from the original proposals.
- Compliance
- Performance
- Private Fund
White Paper: How to Effectively Utilize the Cyber Threat Landscape
This white paper takes a look at the current threat landscape to glean lessons from cyberattacks that can help firms secure their organizations.
- Cybersecurity
- Cybersecurity Resources
Case Study: Global Investment Performance Standards Compliance for a Large Investment Manager
Leveraging a GRC firm’s expertise and resources enabled the company to overcome its complex challenges and improve its investment performance program while maintaining a high level of compliance with the Global Investment Performance Standards.
- Performance
- Managed Services