Insights
The Corporate Transparency Act: The Latest Iteration of Customer Due Diligence in the Financial Crime Toolkit
FinCEN issued the Corporate Transparency Act to create greater transparency into the beneficial owners of small companies.
- AML and Financial Crime
- Compliance
The Slippery Slope of Private Fund Manager Issuer Exemption
For firms marketing privately-issued securities, whether as a private fund manager or issuer, ensuring their activity is compliant with FINRA or SEC regulations is essential.
- Distribution
ACA Launches ESG Portfolio Monitoring for Private Markets
Introducing ACA Vantage for ESG; a straightforward and comprehensive solution to track and analyze ESG data, and support PE, private credit, and leveraged loan portfolios.
- ESG
- ACA News
Private Fund Adviser Rules Timeline
Download a timeline that maps out each critical phase of the SEC's Private Fund Adviser Rules and the timeframes required to meet the rule's deadlines.
- Private Fund
- SEC
Best Practices to Outsource Investment Performance Calculations
We share best practices to optimize your engagement with a third-party firm to calculate your firm's investment performance and maximize the benefits of a partnership.
- Performance
Thousands of Servers Exposed By Citrix Bleed Vulnerability
Citrix Bleed (CVE-2023-4966) is a critical vulnerability affecting Citrix NetScaler ADC and NetScaler Gateway appliances. It is now being targeted by the Russian ransomware gang, LockBit.
- Cybersecurity
A New Era for ESG Data: Quality, Regulation, and the Road Ahead
While the explosion of ESG data over the last five years has garnered both enthusiasm and criticism, the wild west character of the data environment is fading – giving way to a market that is more robust, reliable, and regulated.
- ESG
13 Actions to Position Your Portfolio for Cyber Success
Based on our industry expertise and experience, we’ve put together 13 steps to form a programmatic approach to cybersecurity portfolio oversight.
- Cybersecurity
- Cybersecurity Resources
The New York State Department of Financial Services Expands Cybersecurity Rules
The NYDFS recently updated its regulations to add strict provisions on board oversight, ransomware payments, and event reporting.
- Cybersecurity
The SEC Targets Use of Predictive Data Analytics
Predictive data analytics can have a number of great uses in the financial industry. However, the SEC recently proposed rules to ensure advisers are not using it to harm investors.
- Compliance
- SEC