Insights
SEC Proposes New Outsourcing Regulation for Advisers
The proposed rule requires investment advisers to ensure that third-party service providers can do their job before, and periodically after, being hired.
- Compliance
ACA Regulatory Update - November Edition
This month, we highlight the SEC’s crackdown on unmonitored messaging apps, their latest rule proposal addressing due diligence on service providers, and more.
- SEC
- Compliance
ACA Releases Enhanced Global Managed Services Solution Amidst Economic Maelstroms
ACA Group has announced its Managed Services as a comprehensive compliance offering to firms of all sizes around the world.
- Compliance
- Managed Services
- FCA
- SEC
- ACA News
Surviving the Macro-Economic Superstorm
Macroeconomic trends are coming together to create a “superstorm” making it difficult for the financial industry to find and retain talent, creating compliance risks for firms. What are the practical solutions to address these challenges?
- Managed Services
- Compliance
- ComplianceAlpha
- FCA
- SEC
Private Markets Quarterly Update: Q3 2022
Learn more about recent regulatory developments and industry insights in our Private Markets Quarterly Newsletter.
- Compliance
- SEC
ACA Foreside Wins at 2022 ETF Express U.S. Services Awards
We are honored to win Best ETF Distributor, Best ETF Compliance Team for Mutual Fund to ETF conversions, and Best ETF Regulatory/Compliance Adviser at the ETF Express US Services Awards.
- ACA News
Hedge Fund Quarterly Update Q3 2022
We are pleased to provide this latest update to keep you apprised of regulatory developments in the private fund and liquid alternatives space.
- SEC
- Compliance
SEC Examination Trends Report
We share our observations concerning the SEC's Division of Examinations' public priorities and our insights and practical considerations from recent exams.
- Compliance
- SEC
Watch ACA's RegTech in Action Demo Series
Tune in to watch individual demos of our regulatory technology solutions in our RegTech in Action series.
- ComplianceAlpha
SEC Proposed Rule Includes New 48-Hour Cyber Incident Reporting Requirement
According to the SEC proposed Rule 206(4)-9, RIAs and private funds must now submit a confidential report to the SEC within 48 hours from when a “significant cyber incident” is discovered.
- Cybersecurity
- SEC