city blocks birds eye view night

Insights

Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

GRC 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

1 of
cyber trends - 980x550_7.png

2020 Cybersecurity and Risk Year in Review

This year, as we responded to the pandemic, we continued to invest in enhancing our cybersecurity and privacy services to help our clients meet their firm's priorities efficiently and effectively as well as respond to the evolving cybersecurity landscape. Review a summary of 2020 cybersecurity news and insights and other resources and prepare for 2021.

Article
  • Cybersecurity
  • RiskMutation
ACA Threat Intelligence Alert Blog Image

Update: Major SolarWinds Breach

Following our Cyber Alert earlier this week about the SolarWinds breach, many extraordinary steps have been taken by industry leaders to respond to what may be the most material global intrusion campaign of the past decade.

Cyber Alert
  • Cybersecurity
compliancealpha on laptop on desk with christmas tree in background

2020 RegTech News, Insights, and ComplianceAlpha® Updates You May Have Missed

Firms are turning to technology at a record rate thanks in large part to the pandemic, and regulators worldwide continue to prioritize technology innovation and data. We've curated a roundup of notable alerts and insights from ACA's experts as well as ComplianceAlpha enhancements to help you catch up and prepare for a successful 2021.

ComplianceAlpha Update
  • RegTech
  • RiskMutation
EU and UK Flags

Essential Guide to AIFMD Marketing After Brexit

Following the end of the Brexit transition period, AIFMs wishing to market their funds should re-evaluate the AIFMD marketing notification requirements, taking into account the combination of their own jurisdiction, that of the fund, and that of their prospects in order to understand the process to follow. Our guide outlines the permutations of location of AIFMs, AIFs, and prospective investors.

Article
  • Compliance
curved glass building looking up at a blue sky

Registered Investment Company 2020 Regulatory Recap

During the course of 2020, the SEC was active in proposing and adopting new rules. Beyond rulemaking, the SEC also issued exemptive orders and no-action letters of note, including actions related to COVID-19. Here, we highlight some of the SEC’s 2020 regulatory activities for registered investment companies.

Compliance Alert
  • Compliance
ACA Threat Intelligence Alert Blog Image

Major SolarWinds Breach Affects Government and Businesses Worldwide

A major breach has compromised confidential data at several U.S. government agencies, including the Treasury Department and the Department of Commerce exposing information from the executive branch, the military, and intelligence services. It has likewise compromised leading telecommunications firms, technology firms, and international governments.

Cyber Alert
  • Cybersecurity
brexit 2

Operating in the UK Post-Brexit - A Guide for EEA Firms

The Brexit transition means in excess of 1,500 global firms need to adapt their business models and regulatory registration arrangements to continue operating within the UK. We outline details of the UK transitional regimes, the FCA’s expectations of international firms operating in the UK and the FCA authorisation process.

Article
  • Compliance
  • Brexit
highway at night from overhead

2021 Broker-Dealer Regulatory Filings Calendar

To help you stay on track with your firm’s FINRA reporting obligations, we’ve put together a printable calendar with key deadlines in addition to U.S. national holidays at a glance.

Article
  • Compliance
EU and UK Flags

Brexit: The Final Countdown - A Checklist for UK Investment Managers

With just days to go to the end of the transition period for the UK’s departure from the EU, we’ve developed a checklist of key considerations and activities that UK investment managers need to prepare.

Compliance Alert
  • Compliance
  • Brexit
highway at night from overhead

Helping Private Equity Firms Stay Ahead of Risk

On October 6, 2020, ACA Aponix held a panel discussion about portfolio company risk management at our Cyber Week Virtual Conference. The session featured panelists from leading Private Equity (PE) firms who have worked with ACA to deploy strategic portfolio company risk management programs and included participants from over 200 firms.

Article
  • Cybersecurity