Insights
Distribution Digest Volume 4
We are happy to share the Distribution Digest, which contains information about recent trends and news related to the asset management marketplace.
- Distribution
ACA Group Acquires Focus 1 Associates
ACA's latest acquisition bolsters ACA’s roster of top compliance talent and diversified services.
- ACA News
SEC Proposed Cybersecurity Risk Rules
The SEC's new proposed cyber rules affect investment advisers, clients of investment advisers, private funds, and investors of private funds.
- Cybersecurity
- SEC
LTAF or Having a Laugh?
The FCA recently announced a proposal to broaden retail access to Long-Term Asset Fund (“LTAF”). But what is an LTAF? Does anyone actually want one? Or is this just a regulatory anagram for FLAT?
- Compliance
- FCA
The Ultimate Guide on the Fundamentals of ETFs
ACA Foreside spoke with panelists at WealthManagement.com's EDGE conference about the fundamentals of an ETF.
- Compliance
- Distribution
Key Takeaways from DEF CON 2022
Members of ACA Aponix’s team attended DEF CON, an annual hacking and cybersecurity convention. Find out what they learned about the latest industry news and trends.
- Cybersecurity
SEC’s Rule Proposals Seek to Reform the Private Fund Industry
The rules proposed by the SEC earlier this year revealed how the SEC’s examination and enforcement agenda is likely to unfold in the coming months and years, regardless of the ultimate outcome of those rules. Find out what your firm should be doing in light of these proposals.
- SEC
- Compliance
ESG Regulation: What Next?
With a surge in investor interest in ESG topics, as well as numerous firms attempting to set themselves apart from their peers through their commitments to issues like climate and sustainability, regulators have been busy working to establish consistency and transparency around ESG claims. What are the FCA's expectations from firms, and what are the anticipated challenges ahead?
- ESG
- Compliance
FINRA Reminder to Supervise for Digital Signature Falsification
FINRA recently issued a regulatory notice to remind firms to monitor digital signatures to prevent or detect forgery or falsification activities.
- Compliance
The Importance of ESG Risk Management During Periods of Market Volatility
Those who have invested heavily in ESG risk management are likely to be better prepared to weather the current market volatility.
- ESG