Article

Rethinking Sustainable Finance: Clarity and Credibility Take Center Stage

Leave a Comment / Article / By

Moving beyond ESG buzzwords to focus on clarity, credibility, and long-term value creation. Insightful conversations at the recent 2025 IA Sustainability and Responsible Investment Conference in London made one thing clear: the future of sustainable finance lies in pragmatism, transparency, and strategic value creation. Several key themes explored align closely with ACA’s philosophy on sustainability […]

Rethinking Sustainable Finance: Clarity and Credibility Take Center Stage Read More »

Navigating the New Guidance for OCIO Performance Reporting: Insights from Industry Experts

Leave a Comment / Article / By

For years, asset owners and search consultants have requested more transparent and comparable performance results from Outsourced Chief Investment Officer (OCIO) firms. At the same time, OCIO firms have voiced frustration over the inconsistent requests they receive for performance data. Acknowledging that the industry needs agreement, the CFA Institute adopted the Guidance Statement for OCIO

Navigating the New Guidance for OCIO Performance Reporting: Insights from Industry Experts Read More »

Strengthen Your Surveillance Program Through Compliance Best Practices

Leave a Comment / Article / By

When establishing a surveillance program, everything begins with a thorough understanding of the firm itself—that is, the lines of business your firm is in and where it is operating, both in terms of physical location and the systems employed.  Best practices include documenting the surveillance program through written supervisory procedures (WSPs), including how frequently the

Strengthen Your Surveillance Program Through Compliance Best Practices Read More »

Proposed Changes to DFSA’s Approach to Licensed Functions and Authorised Individuals

Leave a Comment / Article / By

The Dubai Financial Services Authority (DFSA) is ushering in a transformative shift in how it regulates key roles within financial firms operating in the Dubai International Financial Centre (DIFC). With the release of Consultation Paper No. 165 (CP165), which closed for feedback on  5 May 2025, the DFSA proposed a move from a licensing model

Proposed Changes to DFSA’s Approach to Licensed Functions and Authorised Individuals Read More »

ESMA Doubles Down on Data Quality

Leave a Comment / Article / By

The European Securities and Markets Authority (ESMA) released updates to its Data Quality Engagement Frameworks (DQEFs) offering firms rare visibility into how National Competent Authorities (NCAs) and ESMA assess the quality of reported data across key regulatory regimes. These updates are more than just technical guidance, they are essential for firms in scope, including those

ESMA Doubles Down on Data Quality Read More »

How to Prepare for Regulatory Examinations and Visits

Leave a Comment / Article / By

Firms must proactively prepare for regulatory exams and visits as part of their business-as-usual compliance strategy. SEC examinations tend to be comprehensive, complex, and demanding, requiring compliance officers to demonstrate their deep understanding of business operations, financial transactions, and compliance procedures, across the business. FCA visits and inquiries, while typically less comprehensive, nevertheless may require

How to Prepare for Regulatory Examinations and Visits Read More »

Independent AML Testing Best Practices

Leave a Comment / Article / By

Independent testing is a critical component of an effective anti-money laundering (AML) compliance program. It ensures that internal controls are operating as intended and that your firm’s compliance efforts align with regulatory expectations.  This requirement is mandated under several international rules, including the U.S. Bank Secrecy Act, the new FinCEN AML Rule, UK Regulation 21

Independent AML Testing Best Practices Read More »

Greenwashing Under the Microscope

Leave a Comment / Article / By

Greenwashing, the act of misrepresenting ESG and/or sustainability practices, whether intentionally or unintentionally, has been a trending topic in news stories. However, misleading claims are not new to the financial sector or asset managers. Securities regulators around the globe are paying particular attention to potential instances of greenwashing in order to protect investor capital. This

Greenwashing Under the Microscope Read More »

Annual GIPS Compliance Notification Deadline is June 30

Leave a Comment / Article / By

Organizations that claim compliance with the Global Investment Performance Standards (GIPS®) are required to notify the CFA Institute via the GIPS Compliance Notification Form by June 30, 2025, and include data as of December 31, 2024. Note that the form can be submitted anytime between now and June 30 and is not dependent upon completion of an

Annual GIPS Compliance Notification Deadline is June 30 Read More »

Tech-Driven Compliance as a Competitive Differentiator

Leave a Comment / Article / By

A tech-enabled compliance program is about more than just operational efficiency—it can become a competitive advantage. The shift from manual processes to tech-enabled solutions is reshaping how firms make compliance programs more efficient, transparent, and proactive. By automating routine tasks, compliance teams can shift their focus to high-value activities which drive business growth.  A well-run,

Tech-Driven Compliance as a Competitive Differentiator Read More »

Contact
Contact