Insights

February 16, 2023

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.

February 15, 2023

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

February 13, 2023

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

February 12, 2023

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.

February 10, 2023

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

February 09, 2023

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

February 08, 2023

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broker-dealer electronic recordkeeping requirements, which reflect technological developments and address some of the outdated books and records requirements.

February 07, 2023

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

January 31, 2023

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.

January 30, 2023

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