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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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Private Fund Managers Should Reevaluate their Approach to Side Letter Management Amidst Increased Scrutiny

Regulators are increasingly focusing on side letter compliance during their examinations of private fund managers. This article provides practical solutions and strategies to effectively monitor and manage side letter obligations.

Article
  • Compliance
cyber outage

SEC Proposes Rule to Limit Conflicts of Interest in AI-Based Investor Engagement Tools

The SEC proposed two new rules to put guardrails around the use of predictive data analytics by broker-dealers and investment advisers. The goal is to limit the use of technology in ways that favor financial firms’ interests.

Cyber Alert
  • Compliance
  • Cybersecurity
  • Privacy
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ACA Group Enhances Surveillance Capabilities for Off-Channel Communications to Navigate Rising Regulatory Scrutiny

New partnership with LeapXpert will help financial firms surveil multiple messaging channels to meet client expectations while ensuring regulatory compliance.

Press Release
  • RegTech
  • ACA News
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Myths About Cybersecurity Portfolio Oversight: Myth #3

In part 3 of our series we tackle the myth that "investors don’t care and/or are satisfied with our current approach to cybersecurity."

Article
  • Cybersecurity Resources
  • Cybersecurity
  • Portfolio Company Risk Management
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Court Decision Pushes Back Enforcement for the California Privacy Rights Act

The Sacramento County Superior Court has delayed the enforcement of the California Privacy Rights Act (CPRA) from July 1, 2023, to March 29, 2024, due to the delayed finalization of CPRA rules by the California Privacy Protection Agency (CPPA).

Cyber Alert
  • Privacy
Will SM&CR Pass its own fit and proper test

MiFID Research Bundling: Will the Expired Relief for U.S. Broker-Dealers be Reinstated?

MiFID II reformed research payment practices in Europe, but the expiration of relief from the SEC has prompted a bill in the U.S. House of Representatives to extend it for six months, aligning with potential changes in the regulations by the UK and EU.

Compliance Alert
  • Compliance
  • SEC
  • Broker-Dealer
ARRMA Case Study Three

Industry Insights: Mansion House Speech Highlights Potential for the UK Markets

Will the UK Chancellor’s new packages of pension reforms boost the UK markets and open up new opportunities for investment into UK Growth Companies?

Article
  • Compliance
  • FCA
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SEC Marketing Rule Continues to Dominate Investment Advisers' Compliance Concerns, Survey Reveals

The 2023 Investment Management Compliance Testing Survey results reveal marketing is still the top compliance concern. Cybersecurity and electronic communications follow closely behind.

Press Release
  • ACA News
  • Compliance
Fee Calculations_Performance

Navigating SEC Scrutiny: Enhancing The Accuracy of Fee Calculations for Private Funds

In an environment of intense regulatory scrutiny, the SEC is putting private fund managers under the microscope, focusing on fees charged to investors. In our recent article we break down the challenges and obstacles firms face as a result of these complex fees both in terms of calculations and the descriptions in the fund's governing documents.

Article
  • Performance
  • SEC
  • Compliance
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Merger and Acquisition Platform Datasite Named as a Victim of MOVEit Breach

Datasite, which provides a data sharing platform and encrypted data rooms for potential merger and acquisition partners, is the latest victim of the MOVEit Breach.

Cyber Alert
  • Cybersecurity