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Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

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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

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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.

  • SEC
  • Compliance
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ESG Issue Brief: Climate Action

We discuss the emotional and financial considerations for understanding how companies and funds impact climate action.

  • ESG
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The Importance of Insider Trading Controls for Private Markets

The risk of involvement in insider trading has intensified for private markets fund managers, who often underestimate their exposure to insider information.

  • Managed Services
  • Compliance
  • RegTech
  • ComplianceAlpha
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ACA Group Taps Global Talent with New Office in Pune, India

On February 13th, ACA's new office in Pune, India will open adding to ACA’s “follow the sun service,” which will support clients around the clock and improve project turnaround times.

Press Release
  • ACA News
SEC building

The SEC’s 2023 Exam Priorities

The SEC's Division of Examinations released its annual exam priorities, which focus on compliance, fraud prevention, risk monitoring, and informing policy.

Compliance Alert
  • Cybersecurity
  • SEC
  • Compliance
  • ESG
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2023 Environmental, Social, and Governance Filings Calendar

Download our environmental, social, and governance (ESG) filings calendar to see global filing responsibilities and which firms each filing pertains to at a glance.

  • ESG
  • Regulatory Deadlines
ARRMA Case Study Three

Amendments to Rule 17a-4 Electronic Recordkeeping Requirement

The SEC adopts amendments to broker-dealer electronic recordkeeping requirements, which reflect technological developments and address some of the outdated books and records requirements.

Compliance Alert
  • Compliance
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Survey: How Does Your Compliance Program's Resources Compare to Your Peers?

Participate in our budget and staffing survey to learn how other compliance programs are allocating their resources.

  • Compliance
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EXAMS Observations Related to Regulation NMS Rule 606 Disclosures

The risk alert outlines observations made during SEC examinations of Rule 606(a) disclosures since the first quarter of 2020, noting issues with firms' material aspects disclosures.

Compliance Alert
  • Compliance
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Newly Discovered Phishing Campaigns Evade Anti-Malware Systems

Two new phishing tactics have successfully evaded anti-malware systems: PY#RATION and Blank Image Attacks.

Cyber Alert
  • Cybersecurity