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Insights and alerts related to the SEC's new Marketing Rule

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Regulatory change is here for Private Fund Advisers

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The Added Value of Influencing Portfolio Companies’ ESG Practices

An increasing number of investors are actively working toward building stewardship policies seeking to achieve improvements from the companies in which they invest.

Article
  • ESG
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Simplify and Streamline Your Compliance Management with ACA’s New Quarterly C3 Solution

ACA just launched C3 Solution®: Quarterly, a new tech-enabled way to approach your annual compliance program review and ongoing compliance management tasks.

News
  • ACA News
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ACA Group Expands Electronic Communications Surveillance Capabilities in ComplianceAlpha Platform

The enhancements to ACA’s eComms surveillance technology include relationship forensics, machine learning, and an integrated archive to enable more effective internal investigations

Press Release
  • ACA News
  • eComms Surveillance
  • RegTech
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Penalizing Pirates: Hackers Push NullMixer Campaigns to Pilfer Data

A recent press release from Kaspersky warns of a malware that can steal users' personal information. We discuss how it works and our guidance for preventing an attack.

Cyber Alert
  • Cybersecurity
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SEC Issues Risk Alert for Municipal Advisors

The SEC issued a risk alert reminding municipal advisors of their regulatory obligations. We break down the primary deficiencies and weaknesses they discuss.

Compliance Alert
  • SEC
  • Compliance
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Electronic Communications Recordkeeping Failures Cost Large Firms More than $1.1 Billion

The SEC fined 16 firms for failure to capture certain communications, and failure to supervise their employees by not detecting or preventing the use of unapproved devices. Find out what you need to know.

Compliance Alert
  • eComms Surveillance
  • Compliance
  • RegTech
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Russell Investments Selects ACA Group’s ARRMA Service to Enhance Regulatory Reporting

Leading global investment solutions firm chooses ACA’s ARRMA (ACA Regulatory Reporting Monitoring & Assurance) service to help manage its MiFIR and EMIR transaction reporting arrangements.

Press Release
  • Compliance
  • Trade & Transaction
  • RegTech
summer regulatory update

Regulatory Update Summer 2022

This edition provides unique insights on regulatory developments for investment advisers, private fund managers, broker-dealers, dual-registrants, and mutual funds.

Newsletter
  • SEC
  • Compliance
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ACA Group Acquires Data Specialist Ethos ESG to Offer First Data Analytics Product

We’re pleased to announce that ACA Group has acquired Ethos ESG, a provider of environmental, social, and governance (ESG) ratings data and software for financial advisors, asset managers, institutions, and investors.

Press Release
  • ACA News
  • ESG
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SEC Announces Marketing Rule Compliance as Exam Priority

With the SEC's new Marketing Rule starting in just a few short weeks, the Division of Examinations has issued a Risk Alert sharing the top focus areas that exams will be focused on.

Compliance Alert
  • SEC
  • SEC Marketing Rule
  • Compliance