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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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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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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 Alert
  • Compliance
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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.

Newsletter
  • SEC
  • Compliance
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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.

Press Release
  • Compliance
  • Managed Services
  • FCA
  • SEC
  • ACA News
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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?

Article
  • Managed Services
  • Compliance
  • ComplianceAlpha
  • FCA
  • SEC
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Private Markets Quarterly Update: Q3 2022

Learn more about recent regulatory developments and industry insights in our Private Markets Quarterly Newsletter.

Newsletter
  • Compliance
  • SEC
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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.

News
  • ACA News
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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.

Article
  • SEC
  • Compliance
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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.

Article
  • Compliance
  • SEC
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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 Update
  • ComplianceAlpha
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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.

Article
  • Cybersecurity
  • SEC