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Regulatory change is here for Private Fund Advisers

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Maze

Solving Investment Industry Challenges: The Strategic Role of Managed Performance Services

As the cost of in-house talent increases, firms must adopt efficient investment performance measurement and reporting processes, such as leveraging outsourced performance services.

Report
  • Performance
  • Managed Services
highway at night from overhead

The Increasing Importance of Robust Insider Trading Controls at Private Markets Fund Managers

Private markets fund managers have underestimated insider trading risks due to their limited involvement in public markets, but increasing interactions with public companies and expert networks have heightened exposure to material nonpublic information (MNPI).

Article
  • Compliance
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U.S. Regulatory Update - Summer 2023

This edition includes updates to the SEC’s rulemaking calendar, recent money market fund reforms, FINRA's recent financial reports, and more.

Newsletter
  • SEC
  • Compliance
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Myths About Cybersecurity Portfolio Oversight: Myth #4

In part 4 of our series we tackle the myth that cyber oversight is (only) about downside risk management.

Article
  • Cybersecurity Resources
  • Cybersecurity
  • Portfolio Company Risk Management
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ACA Launches Best Execution Solution to Address Global Regulatory Requirements

New Software-as-a-Service solution includes quantitative and qualitative data analysis and reporting capabilities for enhanced compliance assurance

ComplianceAlpha Update
  • ACA News
  • RegTech
Business people in office

The Expanded ETF Ecosystem

Discover how the landscape of ETFs is evolving as funds are increasingly shifting away from daily holdings disclosures. Gain expert guidance on navigating this changing landscape and embracing the new wave of semi-transparent ETFs.

Report
  • Distribution
Tall Building with Blue Sky

Private Fund Managers Should Reevaluate their Approach to Side Letter Management Amidst Increased Scrutiny

Regulators are increasingly focusing on side letter compliance during their examinations of private fund managers. This article provides practical solutions and strategies to effectively monitor and manage side letter obligations.

Article
  • Compliance
cyber outage

SEC Proposes Rule to Limit Conflicts of Interest in AI-Based Investor Engagement Tools

The SEC proposed two new rules to put guardrails around the use of predictive data analytics by broker-dealers and investment advisers. The goal is to limit the use of technology in ways that favor financial firms’ interests.

Cyber Alert
  • Compliance
  • Cybersecurity
  • Privacy
blue abstract

ACA Group Enhances Surveillance Capabilities for Off-Channel Communications to Navigate Rising Regulatory Scrutiny

New partnership with LeapXpert will help financial firms surveil multiple messaging channels to meet client expectations while ensuring regulatory compliance.

Press Release
  • RegTech
  • ACA News
meta person

Myths About Cybersecurity Portfolio Oversight: Myth #3

In part 3 of our series we tackle the myth that "investors don’t care and/or are satisfied with our current approach to cybersecurity."

Article
  • Cybersecurity Resources
  • Cybersecurity
  • Portfolio Company Risk Management