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Insights

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

GRC news and hot topics

Regulatory compliance insights and alerts

Cybersecurity alerts and insights

ESG

ESG alerts and insights

GIPS® standards and performance alerts and insights

RegTech insights and alerts

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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Regulation S-P Establishes Data Breach Notification and Planning Requirements

The SEC adopted amendments to Regulation S-P intended to provide investors with greater privacy protections and transparency into data breaches.

Cyber Alert
  • Cybersecurity
  • SEC
ACA Vantage

Changes to the SEC Robo-Adviser Exemption

The U.S. Securities and Exchange Commission (SEC) amended Advisers Act Rule 203A-2(e), resulting in a change to the exemption certain internet investment advisers (robo-advisers) rely on.

Compliance Alert
  • SEC
city landscape summer

Naming and… Sustaining? The FCA’s Sustainability Disclosure Requirements

The FCA recently extended their Sustainability Disclosure Requirements (SDR) to portfolio managers in addition to confirming final guidance to help firms comply with the new anti-greenwashing rule.

Compliance Alert
  • ESG
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Strategies to Transform Your Compliance Program with Technology - #6: Regulatory Priorities

Prioritize automation using the regulators’ priorities.

Article
  • RegTech
  • ComplianceAlpha
London at night

Ten Advantages of Pursuing FCA Authorisation

We outline ten reasons why seeking FCA authorisation can bring benefits beyond compliance, including enhanced credibility, market access, investor confidence, and long-term sustainability.

Article
  • FCA
  • Compliance
Building with windows

Ten Advantages of Turning to Regulatory Hosting in the UK and EU

If you're navigating this complex terrain and want to access the EU or UK markets, exploring the regulatory hosting route could offer significant commercial and operational advantages.

Article
  • Mirabella
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Common AML Schemes: ESG

ESG criteria can prevent money laundering, as they generally have strong compliance systems and ethical practices. However, there are still some vulnerabilities that can be exploited.

Article
  • AML and Financial Crime
  • ESG
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SEC Examinations Division to Evaluate Firms’ Readiness for T+1

The SEC Examinations Division issued a risk alert reminding broker-dealers, clearing agencies, and investment advisers of their new obligations in connection with the transition to T+1 settlement of certain securities transactions.

Compliance Alert
  • Compliance
  • SEC
Interval and Tender Offer Funds

An Introduction to Interval and Tender Offer Funds

Non-traditional closed-end interval and tender offer funds constitute an important segment of the investment industry. Their unique structure allows asset managers to deliver alternative and illiquid investment strategies to a broad investor base.

Article
  • Distribution
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Case Study: Establishing Cybersecurity Portfolio Oversight

This case study discusses how ACA Aponix helped identify areas for cybersecurity growth, visibility, and value enhancement across Gridiron Capital LLC’s portfolio.

Case Study
  • Cybersecurity
  • Portfolio Company Risk Management