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Insights

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

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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
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Q1 2023 Regulatory Reporting Deadlines

Investment advisers must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from January through March 2023.

Article
  • Regulatory Deadlines
  • Compliance
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Five Things to Know About ESG Data Providers

The ESG landscape is evolving rapidly and may require advisers to seek additional resources to meet investor and regulatory expectations. Read our five key areas to consider when evaluating your needs and options.

Article
  • ESG
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ACA's Top White Papers of 2022

We wanted to take a moment to look back at our most popular white papers of 2022 and the advice they provide for financial firms.

Article
  • Compliance
  • Cybersecurity
  • Managed Services
  • ESG
  • RegTech
  • ComplianceAlpha
  • Performance
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ACA's Top Webcasts of 2022

Our most popular webcasts of 2022 discuss the regulatory change that occurred throughout the year and how firms can adjust to new requirements.

Article
  • Compliance
  • ComplianceAlpha
  • Cybersecurity
  • ESG
  • Performance
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LastPass Breach Included Encrypted and Unencrypted User Data

Clients should consider updating their master password

Cyber Alert
  • Cybersecurity
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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
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5 Important ESG Developments That Will Carry Into 2023

The ESG landscape is evolving at a rapid pace and requires additional resources to meet investor and regulatory expectations.

Article
  • ESG
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