Insights

September 23, 2022

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

September 21, 2022

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.

September 21, 2022

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.

September 16, 2022

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

September 15, 2022

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

September 15, 2022

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.

September 14, 2022

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

September 13, 2022

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

September 12, 2022

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

September 09, 2022

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.