Insights
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.
- RegTech
- ComplianceAlpha
- eComms Surveillance
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.
- Regulatory Deadlines
- Compliance
- SEC
- FINRA
- FCA
An Introduction to ETFs
ETFs have exploded in popularity for various reasons, such as ease of purchase, trading flexibility, and tax efficiency.
- Distribution
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.
- Performance
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.
- ACA News
- RegTech
- ComplianceAlpha
White Paper: Building a Value-Generating Cybersecurity Portfolio Oversight Program
A guide to protecting your investments and growing your valuations.
- Cybersecurity
- Cybersecurity Resources
- Portfolio Company Risk Management
Common AML Schemes: Real Estate
Individuals may try to launder money through real estate is by using the property as a vehicle to transfer the illicit funds.
- AML and Financial Crime
SEC Action: $2.1 Million Fine for Insufficient Cybersecurity Controls
The SEC fined a business communication and marketing solutions firm for insufficient disclosure controls and procedures and internal accounting provisions relating to its cybersecurity practices.
- Cybersecurity
An Overview of Tender Offer Funds
Tender offer funds repurchase shares at the Board of Trustees’ discretion pursuant to Rule 13e-4, Section 14, and Schedule TO under the Exchange Act.
- Distribution
Six steps to mitigate the damage of a cybersecurity breach at a portfolio company
The risks faced by portfolio companies can often be mitigated by proper private equity oversight.
- Cybersecurity