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Insights

Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

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ESG alerts and insights

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Insights and alerts related to the SEC's new Marketing Rule

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FCA Clears the Way for Potentially Greater UK SPAC Issuance

August 05, 2021

With a growing European SPACs market and the UK's goal to make London more attractive to compete with other markets around the world, we outline key considerations for firms ahead of new SPACs listing rules coming into force on 10 August in the UK

Compliance Alert
  • Compliance
  • Brexit
  • Managed Services
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Achieving Differentiated Support for Private Equity Firms

August 04, 2021

Fundraising and compliance challenges are expected to increase for private equity firms in the second half of 2021 into 2022. We speak with Private Equity Wire about why support that blends practical and regulatory advice is becoming critical.

Article
  • Compliance
  • ComplianceAlpha
  • ESG
  • Cybersecurity
  • Regulatory Technology
  • Mirabella
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FINRA Amends Rules 5122 and 5123 Filing Requirements to Include Retail Communications that Promote or Recommend Private Placements

August 04, 2021

On July 15, 2021, FINRA issued Regulatory Notice 21-26 to announce new amendments to Rules 5122 and 5123. Under the revisions, broker-dealers must file retail communications that promote or recommend private placement offerings subject to the rules’ filing requirements as of October 1, 2021.

Compliance Alert
  • Performance
  • Compliance

Client demand and regulation are driving trends behind OCIOs claiming GIPS compliance

August 03, 2021

ACA is continuing to see Outsourced Chief Investment Officer (“OCIO”) firms claim compliance with the Global Investment Performance Standards (GIPS®). Today, 38% of the top 50 OCIO firms by AUM claim compliance1. That is an 8% increase from 2020 to 2021 and the percentage is expected to grow by at least 10% from 2021 to 2022. In this article we look at the two main drivers behind OCIO firms ramping up quickly to claim compliance with GIPS.

Article
  • Performance
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Finding Leverage - How Debt Investors are Tackling the Challenge of ESG

August 03, 2021

With an abundance of optimistic growth projections centered around credit markets, 2021 is predicted to be a banner year for portfolios weighted in private debt. But just how easy is it to incorporate ESG criteria into a private debt portfolio?

Article
  • ESG
  • Compliance
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Firms Report Phishing Attempts That Impersonate Microsoft®

July 30, 2021

Multiple firms (including ACA) have reported recent receipt of phishing emails claiming to be from Microsoft. The emails are clearly spoofed. In this alert, we explain how to spot a phishing attempt.

Cyber Alert
  • Cybersecurity
  • Phishing
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FCA Business Plan 2021/2: A New Era in Financial Services Regulation in the UK?

July 29, 2021

The FCA’s Business Plan for 2021/22 is now live, reflecting a major shift in policy objectives and a top to bottom review of the FCA’s own objectives and priorities. We outline the key changes and challenges identified, and what they mean for firms.

Compliance Alert
  • Compliance
  • ESG
  • FCA
  • Managed Services
  • Brexit
  • Mirabella
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96% of Firms Unprepared for the FCA’s New Prudential Regime

July 28, 2021

With less than six months to go until UK investment firms are subjected to a completely new prudential regime, a recent survey reveals that the industry is vastly underprepared. The data shows that just 4% of respondents are ready and capitalised for the FCA’s new Investment Firm Prudential Regime (IFPR) coming into effect in January 2022. Learn more about what this means for firms.

Press Release
  • Compliance
  • ACA News

Waters Rankings 2021 Name ACA Group's ComplianceAlpha® Best Anti-Money Laundering Compliance Solution Provider

July 26, 2021

Our ComplianceAlpha® platform has been named Best Anti-Money Laundering Compliance Solution Provider in the Waters Rankings 2021.

Press Release
  • Regulatory Technology
  • ACA News

The Evolution of Ransomware: A Growing Threat to Financial Services Firms

July 23, 2021

Ransomware is an evolving and serious problem, particularly for financial services firms. In the first of a three-part blog series, we answer the question, “Why is ransomware a threat to my business?"

Article
  • Cybersecurity