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Insights

At ACA Group, our unique financial industry insights are informed by our real-world experience, deep subject matter expertise, and extensive client network.

GRC news and hot topics

Regulatory compliance insights and alerts

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ESG alerts and insights

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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

Regulatory change is here for Private Fund Advisers

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ACA View

The Overseas Funds Regime

Marketing a new fund in the UK that is domiciled overseas to retail investors is about to change. New EEA UCITS could be coming to market in the UK by November, 2024.

Article
  • FCA
  • Compliance
Interval and Tender Offer Funds

The History of Interval and Tender Offer Funds

The history of tender offer and interval funds helps contextualize their current regulatory framework and purpose in the asset management industry.

Article
  • Distribution
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ACA Honored in Inaugural FinCrimeTech50 Award for 2024

We are honored to be one of the first firms to be recognized by the FinCrimeTech50 in its inaugural year.

News
  • ACA News
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Changes Coming to the NFA’s Member Questionnaire (Formerly Known as the Annual Questionnaire)

New amendments adopted by the NFA will require individuals who are both a principal and an associated person to review, sign, and submit the Member Questionnaire.

Compliance Alert
  • Compliance
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FINRA Maintenance Margin Requirements Become Effective May 22, 2024

FINRA’s amendments to Rule 4210 requires members to collect margin for each counterparty's excess mark or market loss related to covered agency transactions.

Compliance Alert
  • Compliance
  • FINRA
cyber lock

Regulation S-P Establishes Data Breach Notification and Planning Requirements

The SEC adopted amendments to Regulation S-P intended to provide investors with greater privacy protections and transparency into data breaches.

Cyber Alert
  • Cybersecurity
  • SEC
ACA Vantage

Changes to the SEC Robo-Adviser Exemption

The U.S. Securities and Exchange Commission (SEC) amended Advisers Act Rule 203A-2(e), resulting in a change to the exemption certain internet investment advisers (robo-advisers) rely on.

Compliance Alert
  • SEC
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Naming and… Sustaining? The FCA’s Sustainability Disclosure Requirements

The FCA recently extended their Sustainability Disclosure Requirements (SDR) to portfolio managers in addition to confirming final guidance to help firms comply with the new anti-greenwashing rule.

Compliance Alert
  • ESG
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Strategies to Transform Your Compliance Program with Technology - #6: Regulatory Priorities

Prioritize automation using the regulators’ priorities.

Article
  • RegTech
  • ComplianceAlpha
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Ten Advantages of Pursuing FCA Authorisation

We outline ten reasons why seeking FCA authorisation can bring benefits beyond compliance, including enhanced credibility, market access, investor confidence, and long-term sustainability.

Article
  • FCA
  • Compliance