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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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Regulatory compliance insights and alerts

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ESG alerts and insights

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

Guidance and insights on regulatory proposals, enforcements, and risk alerts

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Foreign Withholding Tax Leakage and ETF Performance Implications

Understanding the complexities of foreign WHT, its implication for fund performance, and the relief available to U.S.-domiciled ETFs, is significant in remaining competitive amongst other funds.

Article
  • Distribution
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SEC Strategic Plan: More Enforcement, More Rules, and More Technology

The SEC issued its four-year strategic plan for 2022-2026. We summarize the goals of the plan and explore what it means for the next four years.

Compliance Alert
  • Compliance
  • SEC
  • Cybersecurity
  • ESG
  • RegTech
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Warning! Could a Political and Economic Omnishambles be Brewing for the Private Markets?

With an economic storm stemming largely from political ideology, we examine what impact this geopolitical and macroeconomic uncertainty has on the private markets.

Article
  • Compliance
  • FCA
  • SEC
  • Managed Services
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DOL to Allow for ESG Considerations in Plan Investments

The DOL issued a rule that allows plan fiduciaries to take ESG factors into account when selecting retirement investments and exercising shareholder rights.

Compliance Alert
  • ESG
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The Global GRC Risks of Unauthorized Business Communication Channels

Communication has always been integral to the investment world and, as technology evolves and expands, the need for adequate and equally evolved surveillance mechanisms has grown. More widespread use of mobile apps and communication tools such as WhatsApp became increasingly prevalent during the various COVID lockdowns as professionals sought to maintain connection with one another. Habits are quickly formed, and so convenient mobile app usage has become an integrated part of work communications.

Compliance Alert
  • Compliance
  • RegTech
  • ComplianceAlpha
  • FCA
  • SEC
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ACA’s ESG Data and Analytics Solution Recognized for Its Impact on ESG Portfolios

Financial Services Review has named ACA Group’s ESG Data and Analytics solution, Ethos ESG, a “Top Wealth Management Solutions Provider” for 2022.

News
  • ACA News
  • ESG
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ACA Group Announces Its Adoption of the CFA Institute Diversity, Equity, and Inclusion Code

ACA adopts the DEI Code, an action-oriented and principles-based framework through which to drive meaningful change concerning diversity, equity, and inclusion.

Press Release
  • ACA News
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FINRA Provides Guidance on Succession Planning

FINRA has issued Regulatory Notice 22-23 to highlight the benefits of registered representative (RR) succession planning for customers, member firms, and the representatives themselves.

Article
  • Compliance
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5 Things to Know About Leveraging ESG in Private Debt

We discuss the important role of sustainable investing strategies in private debt, and discuss the challenges and opportunities private lenders face in deploying an ESG framework.

Article
  • ESG
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ACA’s ESG Data & Analytics Solution Certifies First Plant-Based ETF as Carbon Neutral

VegTech™ Invest’s Plant-Based Innovation & Climate ETF is recognized as the first plant-based innovation solution to meet ACA’s rigorous carbon neutrality certification

Press Release
  • ACA News
  • ESG