Insights
NIST Cybersecurity Framework 2.0
The National Institute of Standards and Technology (NIST) released version 2.0 of its landmark cybersecurity framework.
- Cybersecurity
- Cybersecurity Resources
Surveillance Program Gap Analysis Checklist
Download our checklist to ensure your surveillance program can weather changing the risk environment.
- ComplianceAlpha
- Compliance
- eComms Surveillance
- Trade Surveillance
ACA's Celebration of Women's Impact from History to Herstory
ACA proudly joins the global celebration of International Women's History Month, commemorating the remarkable achievements and enduring legacies of women worldwide.
- ACA News
New Requirements for Broker-Dealer Execution Quality Reports
Amendments to Rule 605 also require attention from Investment Advisers and Investment Company Directors
- Compliance
- Broker-Dealer
- SEC
SEC Quarterly Statement Rule Breakdown for Private Funds - Performance Disclosures
In the months since the release of the final rule, we continue to dig further into the practical implications of these required disclosures and the impacts on private fund managers’ current reporting structure.
- Private Fund
- Performance
- SEC
Common AML Schemes: Business Email Compromise
Business email compromise schemes can be used to facilitate money laundering by obtaining funds that can be used for illicit purposes.
- AML and Financial Crime
U.S. Regulatory Update – February 2024
This update covers new rules for asset-backed securities transactions, tips for filing Form ADV, FINRA's new rules for home offices and the remote office inspection program, the Corporate Transparency Act, and more.
- Compliance
- SEC
- FINRA
The FCA Proposes a New Approach to Publicise Investigations
The FCA’s recent proposal to publicise investigations should prompt investment firms to take a fresh look at compliance culture, platforms and testing.
- FCA
- Compliance
Cyber Criminals Adapt Tactics to Attack Cloud Infrastructure
Cyber criminals likely associated with the Russian Foreign Intelligence Service are using new tactics, techniques, and procedures to gain access to cloud environments.
- Cybersecurity
FINRA’s New Remote Branch Office Inspection Pilot Program and Residential Supervisory Location Designation
FINRA recently published a regulatory notice to revise the definition of an OSJ and how OSJs are supervised.
- Compliance
- FINRA