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Insights

At ACA Group, our unique financial industry insights are informed by our real-world experience, deep subject matter expertise, and extensive client network.

GRC news and hot topics

Regulatory compliance insights and alerts

Cybersecurity alerts and insights

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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

Regulatory change is here for Private Fund Advisers

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curved glass building looking up at a blue sky

FinCEN and the SEC Propose Customer Identification Programs for Advisers

FinCEN and the SEC recently issued a proposal detailing requirements for customer identification programs for registered investment advisers and exempt reporting advisers.

Compliance Alert
  • AML and Financial Crime
  • SEC
London financial district skyscrapers looking upward

The FCA Reminds Firms of the Importance of Data and Algorithmic Governance in Market Abuse Surveillance 

In its Market Watch 79, the FCA issued a reminder to firms about the perils of data issues and poor algorithmic governance in tools used for market abuse surveillance. 

Compliance Alert
  • Compliance
  • FCA
  • Trade Surveillance
  • RegTech
  • ComplianceAlpha
Bank

The Fifth Circuit Court of Appeals Rules to Vacate the SEC's Private Fund Adviser Rules

Although the court ruled to vacated the SEC's Private Fund Adviser Rules, we do not see this as a moment to "put pencils down,” but rather to monitor closely and continue with compliance readiness under potential appeal outcomes.

Compliance Alert
  • Compliance
  • SEC
  • Private Fund
Interval and Tender Offer Funds

An Overview of Interval Funds: Rule 23c-3

An overview of Rule 23c-3 forms the foundation for understanding interval funds’ fundamental structure. Rule 23c-3 delineates the regulatory framework, mechanisms, and restrictions for how interval funds conduct repurchase offers.

Article
  • Distribution
Pride Month Celebrating Artistic Contributions

ACA and ACA ALLiance Celebrate Pride and Progress

This Pride Month, we are excited to celebrate with our employee resource group, ACA ALLiance, to honor the contributions and experiences of the LGBTQIA+ community within ACA and beyond.

News
  • ACA News
Press release

ACA Group Announces Agreement to Acquire UMB Distribution Services, LLC

Acquisition expands ACA Foreside’s distribution leadership, now distributing and servicing over an estimated $2 trillion in assets.

Press Release
  • Distribution
  • ACA News
spark

Common AML Schemes: Investment Companies

One common way that individuals may try to launder money is through the use of investment accounts and shell companies.

Article
  • AML and Financial Crime
ACA View

The Overseas Funds Regime

Marketing a new fund in the UK that is domiciled overseas to retail investors is about to change. New EEA UCITS could be coming to market in the UK by November, 2024.

Article
  • FCA
  • Compliance
Interval and Tender Offer Funds

The History of Interval and Tender Offer Funds

The history of tender offer and interval funds helps contextualize their current regulatory framework and purpose in the asset management industry.

Article
  • Distribution
New York City from above at twilight

ACA Honored in Inaugural FinCrimeTech50 Award for 2024

We are honored to be one of the first firms to be recognized by the FinCrimeTech50 in its inaugural year.

News
  • ACA News