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Insights

At ACA Group, our unique financial industry insights are informed by our real-world experience, deep subject matter expertise, and extensive client network.

GRC news and hot topics

Regulatory compliance insights and alerts

Cybersecurity alerts and insights

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ESG alerts and insights

GIPS® standards and performance alerts and insights

RegTech insights and alerts

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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ACA Vantage

Building a Value-Generating Cybersecurity Portfolio Oversight Program

It has become imperative that private equity firms institute a programmatic approach to portfolio oversight, meaning oversight that is formally governed, applied consistently, and grows valuations.

Article
  • Cybersecurity
  • Cybersecurity Resources
  • Portfolio Company Risk Management
black and white buildings from below

FINRA’s Latest Fee Schedule and Form BR Filing Updates for RSLs

On July 15, 2024, FINRA published an updated SRO/Jurisdiction Registration Fee Schedule that included a new column indicating which self-regulatory organizations (“SROs”) and jurisdictions recognized Residential Supervisor Locations (“RSLs”).

Compliance Alert
  • Compliance
  • FINRA
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Potential Benefits of an ETF

ETFs have many advantages over traditional open-end funds, including costs, structures, tax, efficiencies, and market size.

Article
  • Distribution
  • Mutual Fund
cyber outage

CrowdStrike Outage and Options for Remediation

An automated update released by CrowdStrike overnight had a technical issue that caused Windows devices receiving the update to crash.

Cyber Alert
  • Cybersecurity
  • Compliance
London from above

Charting your European Expansion: Exploring Pathways to New Markets

Learn practical insights and actionable steps for U.S.-based firms contemplating building a presence in the UK or seeking to market to EU investors without a permanent presence.

Article
  • Compliance
  • FCA
  • Mirabella
SEC building

SEC Exam Sweep of T+1

We have reason to believe the SEC has begun its targeted examinations of investment advisers to assess their compliance with the T+1 transition.

Compliance Alert
  • Compliance
  • SEC
abstract black and white looking up at building

Advisers’ Concerns of Off-Channel Communications Surpasses the Marketing Rule as Top Compliance Concern, Survey Reveals

Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey.

Press Release
  • ACA News
  • Compliance
Graphs

Case Study: Building a Cybersecurity Portfolio Company Oversight Program

This case study outlines how ACA Aponix helped Ara partners gain visibility to monitor and oversee its portfolio companies’ cyber health to drive value and reduce risk.

Case Study
  • Cybersecurity
  • Portfolio Company Risk Management
highway at night from overhead

Enhancing Off-Channel Communications Capture and Surveillance

This article provides actionable steps to set up an effective books and records surveillance program.

Article
  • RegTech
  • eComms Surveillance
  • ComplianceAlpha
Nasdaq Trade talks

Navigating the Future of Data Governance: Insights from ACA on Nasdaq TradeTalks

Carlo di Florio, Global Advisory Leader at ACA Group, recently joined a panel for Nasdaq TradeTalks to share his expertise on the critical role of data governance in the financial services industry.

Article
  • Artificial Intelligence (AI)
  • Compliance
  • Cybersecurity