SEC Regulatory Updates

Firms need to keep pace with the evolving regulatory landscape. 

In the U.S., the Securities and Exchange Commission (SEC) has signaled a clear shift in focus and prioritization. Recent commentary from SEC Chair Gary Gensler indicates that the agency will likely push forward with an aggressive rulemaking agenda.

"The SEC’s Enforcement Division is the cop on the beat for America’s securities laws…As these results show, we go after misconduct wherever we find it in the financial system, holding individuals and companies accountable, without fear or favor, across the $100-plus trillion capital markets we oversee." - Chair Gary Gensler, 2021 Division of Enforcement Annual Report

Recent Securities and Exchange Commission (SEC) news impacting financial services

Top Down View of Buildings

NAV Lending Regulatory Considerations

We explain the benefits of this type of funding and the considerations to take into account before choosing to do so.

Article
  • Compliance
  • SEC
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Choosing Your Path to Launch Your Firm into a New Region

While different financial markets offer significant opportunities, there are a number of things to consider before launching in a new jurisdiction.

Article
  • Compliance
  • FCA
  • SEC
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SEC Charges Broker-Dealers with Filing Deficient Suspicious Activity Reports

The SEC recently fined broker-dealers for SARs filings that failed to meet regulatory requirements.

Compliance Alert
  • Compliance
  • SEC
  • AML and Financial Crime
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New SEC Rule on Short Selling: Key Filing Requirements and Deadlines for Form SHO

The SEC's new Rule 13f-2 requires institutional investment managers to file Form SHO starting January 2, 2025.

Article
  • SEC
  • Compliance
  • Regulatory Deadlines
Balconies

Fundraising and Marketing with Confidence: A Key Considerations Checklist

Key considerations for fundraising, marketing, and launching with confidence.

Article
  • Compliance
  • FCA
  • SEC
  • ESG
  • Cybersecurity
  • AML and Financial Crime
  • RegTech
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Introducing our ESG Compliance Horizon Newsletter

Each quarter, we'll provide you with timely updates, insights, and best practices to help you stay ahead of regulatory changes and ensure compliance.

Newsletter
  • ESG
  • FCA
  • SEC

Recent SEC webcasts by ACA

Keeping Pace with Mobile Communication Surveillance

Our surveillance, compliance, and technology experts will discuss the latest client communication trends in the financial industry and what solutions are available to monitor and archive those communications.

Webcast

Unpacking the SEC's Proposed Cyber Rules

Hear from ACA’s Carlo di Florio, Mike Pappacena, and Liam Jaris as they unpack the SEC’s proposed cyber rules and amendments and describe how they can affect private fund managers.

Webcast

Additional SEC resources by ACA

ACA's regulatory experts share their SEC insights, tools, and resources for compliance teams to use when building and improving their compliance programs.

Download our checklist here to use as a guide to plan your year.

We've put together a printable calendar with key regulatory filing deadlines for the SEC, CFTC, NFA, FCA, and ESMA in addition to national holidays at a glance to help you track your firm’s regulatory reporting obligations.

To help firms prepare for the new year, we’ve created a simple visual timeline of key regulatory milestones for you to download, keep, and reference throughout 2022. 

Learn of the potential changes to securities laws and regulations and the impact on private fund managers

ACA’s Vivek Pingili, Director, recently joined the National Venture Capital Association (NVCA) and Northgate Capital in a webcast providing considerations for building and implementing an effective compliance program for venture capital and other types of private markets fund managers.

Download our Q4 2021 Private Markets Quarterly Update.

Download our Q4 2021 Hedge Fund Quarterly Update.

Strengthen your compliance program with our global team of compliance professionals.

Maximize your firm’s time and efficiency with our technology-powered managed services.

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