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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

Regulatory change is here for Private Fund Advisers

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2024 FINRA Regulatory Oversight Report

The 2024 Annual Regulatory Oversight Report provides insight into findings from FINRA's Member Supervision, Market Regulation, and Enforcement programs.

Compliance Alert
  • Compliance
  • FINRA
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Case Study: Outsourced Performance Calculation for a Large Asset Manager

This case demonstrates the value of outsourcing investment performance management to a reputable third-party service provider.

Case Study
  • Performance
  • Managed Services
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Checking Your Own Homework: The Need for Cybersecurity Independence

The consolidation of information technology and information security providers has unintended consequences including an increased risk of cybersecurity incidents and operational disruption.

Article
  • Cybersecurity
December

Private Fund Restricted Activities and Preferential Treatment Rules Breakdown

The Restricted Activities Rule focuses on transparency, disclosures, and consent while the Preferential Treatment Rule bans private fund advisers from providing preferential information to investors.

Article
  • Private Fund
  • SEC
  • Compliance
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2024 Cybersecurity Benchmarking Survey

ACA has partnered with NSCP to gather data on cybersecurity trends, policies, and challenges across the financial services industry.

Survey
  • Cybersecurity
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Strategies to Transform Your Compliance Program with Technology - #2: Work Smarter

A blend of technology for automation and managed services for outsourcing can reduce the manual workload and guesswork for you and your team.

Article
  • ComplianceAlpha
  • RegTech
December

Private Fund Quarterly Statement Rule Breakdown

The Private Fund Quarterly Statement Rule requires a quarterly statement that includes information regarding fees, expenses, and performance to the private fund’s investors.

Article
  • Compliance
  • Performance
  • Private Fund
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2024 FINRA Regulatory Filings Calendar

Prepare for the year ahead with our FINRA regulatory filings calendar. Our at-a-glance calendar provides key reporting deadlines and on-going and annual regulatory obligations in an easy to understand format.

Article
  • Compliance
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2024 Regulatory Filings Calendar for Investment Advisers

Our calendar provides key reporting deadlines and regulatory obligations for investment advisers registered with the SEC, CFTC, NFA, UK FCA, and ESMA.

Article
  • Compliance
  • SEC
  • FCA
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Reporting of Securities Lending Transactions

The SEC recently approved a rule requiring securities lending transactions to be reported to FINRA within 15 minutes of completion.

Compliance Alert
  • Compliance