Industry Insights

At ACA Group, our financial industry insights are shaped by real-world experience, deep expertise, and a vast client network. 

SEC Approves FINRA Rule 2210 Amendments

SEC approved FINRA Rule 2210 amendments permit limited use of performance projections and targeted returns in broker-dealer communications.
Compliance Alert
Broker-Dealer, FINRA, Private Funds, SEC

The FCA Proposes Phase 2 SM&CR Reforms

The FCA’s SM&CR proposals would reduce prescription, but not firms’ responsibility for accountability, competence, or Conduct Rule awareness.
Compliance Alert
Conduct Rules, FCA, SM&CR
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