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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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ESG

ESG alerts and insights

GIPS® standards and performance alerts and insights

Regulatory technology insights and alerts

Our thoughts on the RiskMutation™ phenomenon affecting the future of risk and compliance

Insights and alerts related to the SEC's new Marketing Rule

Insights and recommendations for maintaining compliance and operational resilience during the pandemic

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The Real Estate Manager's Path to Compliance with the GIPS Standards

September 13, 2021

In the current real estate investment environment, many firms want to understand the core components of the GIPS standards before committing the resources needed to attain compliance. Firms that already claim compliance seek to mitigate the risk of becoming noncompliant. This paper provides useful information for both objectives.

Report
  • Performance

ACA Group and the Investment Adviser Association Announce Strategic Partnership

September 09, 2021

ACA Group (ACA), a leading provider of governance, risk, and compliance (GRC) advisory services and technology solutions, today announced that it has entered into a strategic partnership with the Investment Adviser Association (IAA), a leading organization dedicated to advancing the interests of investment advisers.

Press Release
  • Compliance
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Microsoft® Reports “Zero-Day” Attacks Using Tainted Office® Files

September 09, 2021

Microsoft reports a previously unseen “zero-day” attack that uses Office files tainted with specially crafted Active X controls. Once opened, these controls create a vulnerability that enables perpetrators to perform remote code execution.

Cyber Alert
  • Cybersecurity

ACA’s Inaugural Compliance Technology Benchmarking Survey is Now Open

September 07, 2021

This survey, sponsored by ACA’s Compliance Leaders Network (C-LEAD), will assess how compliance executives are using traditional and emerging compliance technology to better identify risk and create efficiencies within the compliance program. The results of this survey will provide participants with a deeper understanding of how their peers are maximizing the value of their technology spend.

Survey
  • Compliance
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FCA Provides AFMs Guidance and Warning on Authorised ESG and Sustainable Investment Funds

September 06, 2021

The FCA's recently issued a warning to AFMs firms to improve the quality and clarity of ESG/sustainable investment fund applications, providing guiding principles help funds comply with existing requirements. We outline what this means for firms.

Compliance Alert
  • ESG
  • Compliance

2021 Compliance Testing Survey: New SEC Marketing Rule Now Top Compliance Concern

September 03, 2021

Implementing the SEC’s new Marketing Rule for Investment Advisers is the number one worry for investment adviser compliance officers, according to the 2021 Investment Adviser Compliance Testing Survey. Advisory firms have until November 4, 2022 to come into full compliance with the rule.

Survey
  • Compliance
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China Passes Data Privacy Law That Affects Chinese and Foreign Companies

September 02, 2021

The Personal Information Protection Law of the People's Republic of China is scheduled to go into effect on November 1, 2021. This new law affects all companies and other entities, both inside and outside of China, engaged with personal information about individuals residing in China.

Cyber Alert
  • Privacy
  • Cybersecurity
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Recent Institutional RFP Mandates Requiring GIPS Compliance of Alternative Investment Managers and OCIOs

September 01, 2021

Each quarter, we provide our feedback on recent institutional mandates related to compliance with the Global Investment Performance Standards (GIPS®); how those mandates ask about the calculation and presentation of performance; and insight into the demand for compliance with the GIPS standards and how that demand is evolving over time.

Article
  • Performance
2021 Spring Virtual Conference

ACA’s Spring 2021 Virtual Conference: Key Takeaways and Trends

August 31, 2021

ACA’s Spring 2021 Virtual Conference was an opportunity for the regulatory compliance, performance, and cybersecurity community to come together and discuss the many changes of the past year and what the future of GRC looks like moving forward.

Article
  • Compliance
  • ComplianceAlpha
  • ESG
  • GIPS Standards
  • Regulatory Technology
  • Cybersecurity
  • Performance
  • Privacy
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SEC Sanctions Registered Investment Advisers and Broker-Dealers for Cybersecurity Failures

August 31, 2021

The SEC announced that it sanctioned eight firms for failure to establish and implement cybersecurity policies and procedures. These failures resulted in multiple instances of criminal email account takeovers causing personally identifiable information from thousands of customers and clients to be exposed.

Cyber Alert
  • Cybersecurity
  • Compliance