Industry Insights

At ACA Group, our financial industry insights are shaped by real-world experience, deep expertise, and a vast client network. 

Topic

Topic

Type

Type
  • Article
  • Case Study
  • Compliance Alert
  • ComplianceAlpha Update
  • Cyber Alert
  • Newsletter
  • Press Release
  • Report
  • Survey
SEC approved FINRA Rule 2210 amendments permit limited use of performance projections and targeted returns in broker-dealer communications.
Compliance Alert
Broker-Dealer, FINRA, Private Funds, SEC
The FCA’s SM&CR proposals would reduce prescription, but not firms’ responsibility for accountability, competence, or Conduct Rule awareness.
Compliance Alert
Conduct Rules, FCA, SM&CR