Insights

February 27, 2023

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.

February 24, 2023

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.

February 24, 2023

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

February 23, 2023

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.

February 22, 2023

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.

February 16, 2023

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.

February 15, 2023

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

February 13, 2023

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

February 12, 2023

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.

February 10, 2023

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