Insights
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
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.
- ACA News
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.
- Cybersecurity
- SEC
- Compliance
- ESG
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
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broker-dealer electronic recordkeeping requirements, which reflect technological developments and address some of the outdated books and records requirements.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
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
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
Newly Discovered Phishing Campaigns Evade Anti-Malware Systems
Two new phishing tactics have successfully evaded anti-malware systems: PY#RATION and Blank Image Attacks.
- Cybersecurity
The PRI Announces the Release of their 2023 Reporting Framework
The updated framework aims to incorporate signatory feedback from the 2021 Pilot Program.
- ESG
Is Your Organization’s Privacy Program Equipped to Tackle the Road Ahead?
January 28th is Data Privacy Day, a reminder that organizations should review their privacy obligations.
- Cybersecurity