Insights
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.
- FCA
- Compliance
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.
- Distribution
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.
- ACA News
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
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
- FINRA
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.
- Cybersecurity
- SEC
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.
- SEC
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.
- ESG
Strategies to Transform Your Compliance Program with Technology - #6: Regulatory Priorities
Prioritize automation using the regulators’ priorities.
- RegTech
- ComplianceAlpha
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.
- FCA
- Compliance