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 in 2022.

"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 SEC news impacting financial services

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Private Markets Quarterly Update: Q3 2022

Learn more about recent regulatory developments and industry insights in our Private Markets Quarterly Newsletter.

  • Compliance
  • SEC
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Hedge Fund Quarterly Update Q3 2022

We are pleased to provide this latest update to keep you apprised of regulatory developments in the private fund and liquid alternatives space.

  • SEC
  • Compliance
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SEC Examination Trends Report

We share our observations concerning the SEC's Division of Examinations' public priorities and our insights and practical considerations from recent exams.

  • Compliance
  • SEC
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SEC Proposed Rule Includes New 48-Hour Cyber Incident Reporting Requirement

According to the SEC proposed Rule 206(4)-9, RIAs and private funds must now submit a confidential report to the SEC within 48 hours from when a “significant cyber incident” is discovered.

  • Cybersecurity
  • SEC
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SEC Sends $1.1 Billion Warning to Financial Firms that Ignore Record-keeping Requirements

$1.1BN of fines were recently issued to sixteen high-profile financial services firms for communication failings, with more regulatory enforcement expected. Learn more about what this means for SEC-registered firms around the world.

  • Compliance
  • RegTech
  • SEC

FAQs: Top Questions Answered About the SEC's Marketing Rule

As the compliance date of November 4th nears, confusion about the SEC's new Marketing Rule continues. We answer the most commonly asked questions about the requirements of the rule.

  • SEC
  • SEC Marketing Rule
  • Compliance
  • Performance

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.


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.


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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