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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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Two Important Cybersecurity Alerts from CISA

The Cybersecurity and Infrastructure Security Agency (CISA) issued two advisories that require impacted firms to take immediate action.

Cyber Alert
  • Cybersecurity
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Strategies to Transform Your Compliance Program with Technology - #5: Tech-enablement

Adopting new technology is a great opportunity to review your compliance program’s processes and make improvements.

  • RegTech
  • ComplianceAlpha
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Q2 2024 Regulatory Reporting Deadlines

Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from April through June 2024.

  • Regulatory Deadlines
  • Compliance
  • SEC
  • FCA

Cybersecurity Benchmarking Survey Lists Top Concerns and Preparedness Among Respondents

Our annual survey in partnership with NSCP reveals that investment firms overlook AI as a cybersecurity risk and remain wary about SEC cybersecurity enforcement and compliance with new rules

Press Release
  • Cybersecurity
  • Cybersecurity Resources
  • ACA News
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ACA Group Launches Dedicated Practice Group Providing GRC Solutions for Wealth Managers

ACA Wealth sets a new standard in GRC support for wealth managers, providing unmatched expertise and comprehensive solutions to address evolving regulatory requirements.

Press Release
  • ACA News
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Anti-Money Laundering Procedures - A UK Regulatory Focus

The FCA recently warned Annex 1 firms about common failings in financial crime controls. We look at the wider implications and tone of this warning.

  • AML and Financial Crime
  • Compliance
  • ComplianceAlpha
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The SEC Expands the Definition of Dealer

The SEC Adopted two new rules that may require some hedge funds and proprietary trading firms to register as broker-dealers and become FINRA members.

Compliance Alert
  • Compliance
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Sharpen Your Pencils: Form ADV Updates are Due March 30

Advisers with a December 31 fiscal year end must file the annual amendment to Form ADV by March 30. Here are a few things to keep in mind when preparing the update.

  • Compliance
  • SEC
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The SEC's Climate Disclosure Rule: A Reminder That Climate-Related Risks May Be Material

The SEC finalized the much-debated climate disclosure rule citing the importance of providing investors with standardized and centrally located climate-related disclosures.

Compliance Alert
  • ESG
  • SEC
Regulatory History Frames Current Issues for ETF Industry

White Paper: Regulatory History Frames Current Issues for the ETF Industry

We partnered with K&L Gates to look back at the evolution of the ETF industry in the U.S. over the past 30 years. The themes highlighted in this paper will likely guide the continuing evolution of ETFs.

  • Distribution