Insights
Is Now the Right Time for Compliance with the GIPS Standards in Private Markets?
The Global Investment Performance Standards are no longer just a gold standard for the presentation of investment performance, but can also aid advisers to meet new regulations.
- Performance
U.S. Regulatory Update – September 2023
Summer is over, and the SEC has a heavy rulemaking agenda for this fall, so hold on to your seats!
- SEC
- Compliance
- Broker-Dealer
- Investment Adviser
Updates to the Names Rule Finalized by the SEC
The updates to the SEC’s Names Rule modernizes the rule, but it also has implications for funds that use ESG terms in their name and strategy.
- SEC
- ESG
FAQ About the SEC’s Proposed Rule for Enhanced Disclosures on ESG Investment Practices
We compiled answers to the most common questions we get asked about the SEC’s proposed rules for enhanced disclosures of ESG investment practices.
- SEC
- ESG
Advisory Firm Settles Cherry Picking Fraud Charges With the SEC
This case should give pause to firms of all sizes to evaluate what they are doing to proactively detect potential market abuse on their own.
- RegTech
- ComplianceAlpha
- SEC
- Compliance
Cultural Connections: ACA's HOLA ERG Celebrates Hispanic Heritage Month
ACA is proud to celebrate Hispanic Heritage Month from September 15 - October 15 alongside our Hispanic/Latinx Organization for Leadership and Advancement (HOLA) Employee Resource Group (ERG)!
- ACA News
CFA Institute Releases Draft Guidance Statement for OCIO Strategies
The CFA Institute released an Exposure Draft Guidance Statement for OCIO Strategies to encourage more outsourced Chief Investment Officers to claim GIPS compliance.
- Performance
Lessons Learned From Recent AML Enforcement Actions
By analyzing recent cases, institutions can identify regulatory trends and enhance their compliance framework to mitigate potential risks.
- AML and Financial Crime
- ComplianceAlpha
- RegTech
Market Makers – What You Should Know
Market makers are broker-dealer firms that provide pricing for ETFs and liquidity in the secondary market.
- Distribution
SEC Private Fund Reform Rule: What Made the Cut
The SEC recently voted to adopt new rules and amendments, known as the Private Fund Reform Rule. Here's a summary of the new rules and how they changed from the original proposals.
- Compliance
- Performance