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 SEC news impacting financial services

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The SEC Plans to Finalize ESG-Related Rules in 2023

The SEC's Regulatory Flexibility Agenda outlines another ambitious year of ESG rulemaking, which will impact many aspects of the U.S.'s financial markets and its investors.

Compliance Alert
  • ESG
  • SEC
December

Updated FAQ About the SEC Marketing Rule Performance Requirements

The SEC released an updated FAQ on January 11, 2023 clarifying requirements around gross and net performance obligations for one investment or a group of investments (i.e., extracted performance).

Compliance Alert
  • Compliance
  • Performance
  • SEC Marketing Rule
  • SEC
top down roads

SEC Highlights Risks of Unapproved Communications via Mobile Apps

The SEC's enforcement actions against a private fund manager and its founder for alleged failures to track and surveil business-related communications highlights why using comprehensive and cutting-edge regulatory technology software tools is no longer an optional best practice.

Article
  • Compliance
  • ComplianceAlpha
  • RegTech
  • Managed Services
  • SEC
Cement Room

2023 Regulatory Filings Calendar for Investment Advisers

Be prepared for the year ahead with our calendar of key regulatory reporting deadlines, on-going and annual regulatory obligations, and national holidays.

Article
  • Compliance
  • Managed Services
  • SEC
  • FCA
  • Regulatory Deadlines
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EXAMS Risk Alert Warns Advisers and Broker-Dealers to Beef Up Identify-Theft Practices

EXAMS issued its sixth Risk Alert to let advisers and broker-dealers know how firms are failing to meet their obligations under Regulation S-ID, the “Identity Theft Red Flag Rule."

Compliance Alert
  • Compliance
  • SEC
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The Compliance Talent Supply and Demand Challenge

Compliance teams are increasingly challenged to keep regulatory pace and best practices while managing with fewer internal resources, demand for increased efficiency, and budget constraints. This leaves firms in danger of creating risky exposure gaps in their compliance program. Learn more about practical ways to address these challenges.

Article
  • Compliance
  • Managed Services
  • FCA
  • SEC
  • ComplianceAlpha
  • RegTech

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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