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Regulatory change is here for Private Fund Advisers

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SEC Amends Rule 15c6-1 to Reduce Settlement Time

The SEC recently adopted an amendment to reduce the time to settle a security purchase or sale from T+2 to T+1 and added Rule 15c6-2.

Compliance Alert
  • Compliance
  • SEC
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Tip for Updating Your Compliance Program: MNPI Compliance Issues

In the third article in our series of tips for understanding the SEC's 2023 focus areas, we discuss our recommendations for MNPI and Code of Ethics compliance.

Article
  • Compliance
  • SEC
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LastPass Provides Action Items in Response to Breach

The update serves to assure customers and business administrators of what LastPass will do differently in the future to avoid similar incidents.

Cyber Alert
  • Cybersecurity
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Tip for Updating Your Compliance Program: Continuing Education Requirements

In the second article in our series of tips for understanding the SEC's 2023 focus areas, we discuss our recommendations for keeping tabs on continuing education requirements.

Article
  • Compliance
  • SEC
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Tip for Updating Your Compliance Program: SEC Focus on Hedge Clauses

In the first article in our series of tips for understanding the SEC's 2023 focus areas, we discuss the regulator's focus on hedge clauses in advisory agreements.

Article
  • Compliance
Black History Month

ACA Reflects on Black History Month Celebrations

Our Connected Black Professionals employee resource group continues to foster a positive and inclusive environment for all employees through initiatives that highlight outstanding achievements and celebrate black legacy and strength.

News
  • ACA News
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SEC Regulation Best Interest (Reg BI) Exam Observations Risk Alert

The SEC Division of Examinations issued a risk alert describing its observations of Regulation Best Interest deficiencies during broker-dealer exams.

Compliance Alert
  • SEC
  • Compliance
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ESG Issue Brief: Sustainable Resource Use

There are both financial and ethical considerations when making investments that support sustainable resource use. We discuss how both can help inform a holistic investment strategy.

Article
  • ESG
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Q&A For Common Marketing Rule Performance Calculation Questions

We’ve put together responses for some of the most common questions we get asked to help your firm meet the requirements of the Marketing Rule.

Article
  • SEC Marketing Rule
  • Performance
summer regulatory update

U.S. Regulatory Update – February 2023 Edition

This month we share updates about the SEC’s amendments to Rule 10b5-1 related to corporate issuer insider trading programs, the several new state privacy law taking effect this year, and more.

Newsletter
  • SEC
  • Compliance