Insights
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CFA Institute Releases Draft Guidance Statement for OCIO Strategies
The CFA Institute released an Exposure Draft Guidance Statement for OCIO Strategies to encourage more outsourced Chief Investment Officers to claim GIPS compliance.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
White Paper: How to Effectively Utilize the Threat Landscape
This white paper takes a look at the current threat landscape to glean lessons from cyberattacks that can help firms secure their organizations.
- Cybersecurity
- Cybersecurity Resources
Case Study: Global Investment Performance Standards Compliance for a Large Investment Adviser
Leveraging a GRC firm’s expertise and resources enabled the company to overcome its complex challenges and improve its investment performance program while maintaining a high level of compliance with the Global Investment Performance Standards.
- Performance
- Managed Services
The New TPF Regime: Treating Politicians Fairly?
The FCA has asked politically exposed persons to share their experiences with regulated firms as part of the regulator's review of firms’ treatment of PEPs.
- Compliance
- AML and Financial Crime