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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

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summer regulatory update

Regulatory Update Summer 2022

This edition provides unique insights on regulatory developments for investment advisers, private fund managers, broker-dealers, dual-registrants, and mutual funds.

Article
  • SEC
  • Compliance
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ACA Group Acquires Data Specialist Ethos ESG to Offer First Data Analytics Product

We’re pleased to announce that ACA Group has acquired Ethos ESG, a provider of environmental, social, and governance (ESG) ratings data and software for financial advisors, asset managers, institutions, and investors.

Press Release
  • ACA News
  • ESG
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SEC Announces Marketing Rule Compliance as Exam Priority

With the SEC's new Marketing Rule starting in just a few short weeks, the Division of Examinations has issued a Risk Alert sharing the top focus areas that exams will be focused on.

Article
  • SEC
  • SEC Marketing Rule
  • Compliance
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Interval Funds Basics

In this article, we break down the fundamentals of interval funds, discussing the core concepts behind these non-traditional mutual funds.

Article
  • Compliance
  • Distribution
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ACA Commemorates Hispanic Heritage Month

We are excited to celebrate Hispanic Heritage Month with our Hispanic/Latinx Organization for Leadership & Advancement (HOLA) Employee Resource Group!

News
  • ACA News
Compliance Alert

FCA Releases Final Rules on the Use of Appointed Representatives

The FCA has issued final rules on the Appointed Representatives (“AR”) regime, aimed at protecting consumers. We examine the new expectations and what they mean.

Compliance Alert
  • Compliance
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ACA Group Unveils Outsourced Chief Compliance Officer Practice

ACA has announced their launch of a dedicated outsourced chief compliance officer (OCCO) practice for the financial services industry.

Press Release
  • ACA News
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FCA's Latest Dear CEO Letter: Is the Devil in the Detail?

The FCA's latest Dear CEO letter notes that recent events have caused them to reassess their supervisory priorities for the alternatives sector.

Compliance Alert
  • Compliance
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Custody Rule Violations and Inaccurate Form ADV Disclosures

The SEC is cracking down on Custody Rule violations, announcing recent charges against 9 advisory firms.

Compliance Alert
  • Compliance
  • SEC
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Implications of the SEC's Draft Strategic Plan

While the SEC’s draft Strategic Plan does not appear to indicate a directional shift, it does nod toward more aggressive enforcement. Learn how this affects your firm.

Compliance Alert
  • Compliance
  • Cybersecurity