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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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Regulatory compliance insights and alerts

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ESG alerts and insights

GIPS® standards and performance alerts and insights

RegTech insights and alerts

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

Guidance and insights on regulatory proposals, enforcements, and risk alerts

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Tip for Updating Your Compliance Program: SEC Focus on Hedge Clauses

In the first article in our series of tips for understanding the SEC's 2023 focus areas, we discuss the regulator's focus on hedge clauses in advisory agreements.

Article
  • Compliance
Black History Month

ACA Reflects on Black History Month Celebrations

Our Connected Black Professionals employee resource group continues to foster a positive and inclusive environment for all employees through initiatives that highlight outstanding achievements and celebrate black legacy and strength.

News
  • ACA News
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SEC Regulation Best Interest (Reg BI) Exam Observations Risk Alert

The SEC Division of Examinations issued a risk alert describing its observations of Regulation Best Interest deficiencies during broker-dealer exams.

Compliance Alert
  • SEC
  • Compliance
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ESG Issue Brief: Sustainable Resource Use

There are both financial and ethical considerations when making investments that support sustainable resource use. We discuss how both can help inform a holistic investment strategy.

Article
  • ESG
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Q&A For Common Marketing Rule Performance Calculation Questions

We’ve put together responses for some of the most common questions we get asked to help your firm meet the requirements of the Marketing Rule.

Article
  • SEC Marketing Rule
  • Performance
summer regulatory update

U.S. Regulatory Update – February 2023 Edition

This month we share updates about the SEC’s amendments to Rule 10b5-1 related to corporate issuer insider trading programs, the several new state privacy law taking effect this year, and more.

Newsletter
  • SEC
  • Compliance
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ESG Issue Brief: Climate Action

We discuss the emotional and financial considerations for understanding how companies and funds impact climate action.

Article
  • ESG
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The Importance of Insider Trading Controls for Private Markets

The risk of involvement in insider trading has intensified for private markets fund managers, who often underestimate their exposure to insider information.

Article
  • Managed Services
  • Compliance
  • RegTech
  • ComplianceAlpha
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ACA Group Taps Global Talent with New Office in Pune, India

On February 13th, ACA's new office in Pune, India will open adding to ACA’s “follow the sun service,” which will support clients around the clock and improve project turnaround times.

Press Release
  • ACA News
SEC building

The SEC’s 2023 Exam Priorities

The SEC's Division of Examinations released its annual exam priorities, which focus on compliance, fraud prevention, risk monitoring, and informing policy.

Compliance Alert
  • Cybersecurity
  • SEC
  • Compliance
  • ESG