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At ACA Group, our unique financial industry insights are informed by our real-world experience, deep subject matter expertise, and extensive client network.

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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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OpenSSH Vulnerability Requires Immediate Action

A critical vulnerability has been discovered in OpenSSH, a widely used suite of secure networking utilities that provide encrypted communications over an unsecured network.

Cyber Alert
  • Cybersecurity

Common AML Schemes: Cybersecurity Tactics

Cybercriminals often use a variety of online platforms and technologies to facilitate the laundering of illicit funds.

  • AML and Financial Crime
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The History of ETFs in the U.S.

From the launch of the first ETF in 1993, the market has continued to evolve in size and scope.

  • Distribution
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FINRA Alert Regarding Form BR for Residential Supervisory Locations

FINRA issued an alert to member firms advising them not to close or withdraw Form BRs for Residential Supervisory Locations

Compliance Alert
  • Compliance
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A Labour Government’s Regulation of the UK Asset Management Sector: Evolution, Not Revolution

The Labour Party vows to support innovation and growth for the asset management sector, but will they be able to deliver?

  • FCA
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The Investment Manager’s Role in Mutual Fund Distribution

This article will discuss benefits and drawbacks to sponsoring and operating a proprietary fund trust or launching a product as a series of an existing shared trust.

  • Distribution
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ACA Group Named Most Preferred Workplace by Marksmen/India Today 2024-2025

ACA Honored with Marksmen/India Today Award for Most Preferred Workplace for 2024-2025

  • ACA News
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Scrutiny of Off-Channel Communications Capture, Archive, and Surveillance

This article will delve into the recent buzz around off-channel communications and how your firm can prepare for the increased regulatory scrutiny.

  • RegTech
  • ComplianceAlpha
  • eComms Surveillance
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Q3 2024 Regulatory Reporting Deadlines

Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from July through September 2024.

  • Regulatory Deadlines
  • Compliance
  • SEC
  • FCA
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An Introduction to ETFs

ETFs have exploded in popularity for various reasons, such as ease of purchase, trading flexibility, and tax efficiency.

  • Distribution