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Insights

Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

GRC hot topics

Brexit insights and alerts

Regulatory compliance insights and alerts

Cybersecurity alerts and insights

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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Performance Record Portability

How is performance impacted when a firm is acquired, a portfolio management team leaves, or when the firm’s legal structure changes?

Report
  • Performance
  • M&A Diligence
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The Rise of Environmental Justice: The ESG Risk You May Be Missing

While environmental justice is rarely called out as an ESG topic, it sits squarely at the intersection of some of the most pressing ESG challenges that we face today

Article
  • ESG
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Mitigating Risks Associated with Composite Performance Reporting Using ACA’s Performance Analytics Services

In addition to developing marketing materials and ensuring appropriate disclosures, firms must ensure that the performance being generated truly reflects the fund or strategy being offered.

Article
  • Performance
  • SEC Advertising Rule

NFA Announces New CPO Notice Filing Requirements

On April 13, 2021, the NFA issued a Notice to Members regarding the recently adopted Compliance Rule 2-50 and Interpretative Notice 9080 requiring a CPO to file timely notices with the NFA when certain market events affect the ability of the commodity pool to fulfill its obligations to participants or counterparties, or result in the pool’s unplanned liquidation. Learn more in our recent compliance alert.

Compliance Alert
  • Compliance

SEC Staff Statement on Registered Funds Investing in the Bitcoin Futures Market

The Securities and Exchange Commission’s Division of Investment Management staff released a statement this week concerning registered funds, most notably mutual funds, investing in the Bitcoin futures market. The statement addressed both perceived investor risk when investing in a mutual fund with exposure to the Bitcoin futures market, as well as IM staff’s intended coordination with the Division of Examinations and the Division of Economic and Risk Analysis. Read our summary and analysis of the statement in our compliance alert.

Compliance Alert
  • Compliance

FINRA Regulatory Actions in Q1 2021

The Financial Industry Regulatory Authority’s (FINRA) Enforcement Division has issued its enforcement action summary reports for Q1 2021. The reports listed 40 enforcement actions brought against member firms. Read on for a summary of several enforcement actions brought against broker-dealers in Q1 2021.

Compliance Alert
  • Compliance
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Navigating Evolving Risks on the Regulatory Horizon

Regulatory change, COVID-19 fallout, and a rapidly mutating ecosystem of risks make this a challenging year for financial services firms. In our complimentary whitepaper, we examine the future of risk and compliance and how firms must respond to rapidly evolving circumstances.

Article
  • Trade & Transaction
  • Compliance
  • ESG
  • Managed Services
  • Regulatory Deadlines
  • Regulatory Technology
  • ComplianceAlpha
  • FCA
  • SEC
  • Cybersecurity
  • RiskMutation
  • Brexit
  • COVID-19
  • GIPS Standards
  • Mirabella
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Ransomware Attack Shuts Down Major Fuel Pipeline; PE Firms Advised To Enhance Protections   

A ransomware attack has led to the shutdown of the Colonial Pipeline, the largest fuel pipeline in the U.S. The Colonial Gas pipeline supplies gasoline, jet fuel, and other products to the eastern and southern U.S., providing 45% of the East Coast supply of fuel.

Cyber Alert
  • Cybersecurity
  • Portfolio Company Risk Management

Dell Vulnerability Discovered; Patching Advised for Millions of Users

On May 4, researchers released details of a security flaw in Dell devices. The flaw affects hundreds of millions of desktops, laptops, notebooks, and tablets. Dell has released additional details of the vulnerability and a recommended fix.

Cyber Alert
  • Cybersecurity
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Sneak Peek: ACA Spring Conference Aponix® Session Previews

ACA’s virtual spring conference is right around the corner. We encourage ACA Aponix clients to attend the sessions below or to invite other members of their teams to join in. Here’s a sneak peek at what you can expect and what you can expect to take away.

Article
  • Cybersecurity
  • Portfolio Company Risk Management
  • Events