GRC hot topics
Regulatory Update Summer 2022
This edition provides unique insights on regulatory developments for investment advisers, private fund managers, broker-dealers, dual-registrants, and mutual funds.
ACA Group Acquires Data Specialist Ethos ESG to Offer First Data Analytics Product
We’re pleased to announce that ACA Group has acquired Ethos ESG, a provider of environmental, social, and governance (ESG) ratings data and software for financial advisors, asset managers, institutions, and investors.
- ACA News
SEC Announces Marketing Rule Compliance as Exam Priority
With the SEC's new Marketing Rule starting in just a few short weeks, the Division of Examinations has issued a Risk Alert sharing the top focus areas that exams will be focused on.
- SEC Marketing Rule
Interval Funds Basics
In this article, we break down the fundamentals of interval funds, discussing the core concepts behind these non-traditional mutual funds.
ACA Commemorates Hispanic Heritage Month
We are excited to celebrate Hispanic Heritage Month with our Hispanic/Latinx Organization for Leadership & Advancement (HOLA) Employee Resource Group!
- ACA News
FCA Releases Final Rules on the Use of Appointed Representatives
The FCA has issued final rules on the Appointed Representatives (“AR”) regime, aimed at protecting consumers. We examine the new expectations and what they mean.
ACA Group Unveils Outsourced Chief Compliance Officer Practice
ACA has announced their launch of a dedicated outsourced chief compliance officer (OCCO) practice for the financial services industry.
- ACA News
FCA's Latest Dear CEO Letter: Is the Devil in the Detail?
The FCA's latest Dear CEO letter notes that recent events have caused them to reassess their supervisory priorities for the alternatives sector.
Custody Rule Violations and Inaccurate Form ADV Disclosures
The SEC is cracking down on Custody Rule violations, announcing recent charges against 9 advisory firms.
Implications of the SEC's Draft Strategic Plan
While the SEC’s draft Strategic Plan does not appear to indicate a directional shift, it does nod toward more aggressive enforcement. Learn how this affects your firm.