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

Insights and alerts related to the SEC's new Marketing Rule

SEC Regulatory Updates

Guidance and insights on regulatory proposals, enforcements, and risk alerts

SEC Private Fund Adviser Rule

Regulatory change is here for Private Fund Advisers

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FINRA Alert Regarding Form BR for Residential Supervisory Locations

FINRA issued an alert to member firms advising them not to close or withdraw Form BRs for Residential Supervisory Locations

Compliance Alert
  • Compliance
  • FINRA
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A Labour Government’s Regulation of the UK Asset Management Sector: Evolution, Not Revolution

The Labour Party vows to support innovation and growth for the asset management sector, but will they be able to deliver?

Article
  • FCA
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The Investment Manager’s Role in Mutual Fund Distribution

This article will discuss benefits and drawbacks to sponsoring and operating a proprietary fund trust or launching a product as a series of an existing shared trust.

Article
  • Distribution
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ACA Group Named Most Preferred Workplace by Marksmen/India Today 2024-2025

ACA Honored with Marksmen/India Today Award for Most Preferred Workplace for 2024-2025

News
  • ACA News
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Scrutiny of Off-Channel Communications Capture, Archive, and Surveillance

This article will delve into the recent buzz around off-channel communications and how your firm can prepare for the increased regulatory scrutiny.

Article
  • RegTech
  • ComplianceAlpha
  • eComms Surveillance
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Q3 2024 Regulatory Reporting Deadlines

Financial firms must meet various regulatory filings requirements throughout the year. These are the regulatory filing submission deadlines occurring from July through September 2024.

Article
  • Regulatory Deadlines
  • Compliance
  • SEC
  • FINRA
  • FCA
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An Introduction to ETFs

ETFs have exploded in popularity for various reasons, such as ease of purchase, trading flexibility, and tax efficiency.

Article
  • Distribution
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Managing Complex Fee Calculations

Fee transparency and accuracy are essential in building trust with your investors, and a recent focus for the SEC. This article shed light on how to mitigate risks associated with complex fee structures.

Article
  • Performance
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ACA Group Honored in AIFinTech100 List for the Third Consecutive Year

This marks our third consecutive year of being acknowledged as one of the most innovative AI solution providers in the AIFinTech100 list.

Article
  • ACA News
  • RegTech
  • ComplianceAlpha
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White Paper: Building a Value-Generating Cybersecurity Portfolio Oversight Program

A guide to protecting your investments and growing your valuations.

Report
  • Cybersecurity
  • Cybersecurity Resources
  • Portfolio Company Risk Management