Insights
Phishing Campaign Taking Advantage of Annual Form ADV Update
Cybercriminals are posing as regulators in phishing attempts on investment advisers, requesting data, and threatening inactivity if not provided. Learn how to identify these phishing attempts and what to do if you receive one.
- Cybersecurity
White Paper: Interval and Tender Offer Funds
Learn the regulatory framework and operational considerations associated with unlisted closed-end funds.
- Distribution
Proposed Amendments for Regulation NMS
The SEC proposed various rule amendments to Regulation NMS to adopt variable minimum pricing increments, reduce access fee caps, and enhance the transparency of better-priced orders.
- Compliance
- SEC
ACA Chooses to #EmbraceEquity to Resist Inequality
ACA hosted a full month of celebrations focused on all of our hardworking women in the workplace.
- ACA News
Proposed Regulation Best Execution Standard
The SEC proposed new regulations requiring broker-dealers to establish policies on conflicted transactions, assess execution quality, and preserve regulation compliance records, among other specific provisions.
- Compliance
- SEC
Tip for Updating Your Compliance Program: ESG
Investor demand has pushed funds to incorporate more ESG factors. As a result, the SEC has launched a Climate and ESG Task Force to identify ESG-related misconduct.
- ESG
- SEC
ACA Awarded Most Innovative Trade Surveillance Solution
ACA Group is proud to be recognized for most innovative trade surveillance solution at this year’s A-Team Innovation awards announced March 23, 2023.
- ComplianceAlpha
- RegTech
- ACA News
- Trade & Transaction
ACA Group Launches ACA Signature to Meet Client Demand for Outsourced Compliance Programs
New scalable solution is curated to suit financial firms’ unique compliance needs and challenges
- ACA News
Enhanced Disclosures Proposed for Order Execution Information
The SEC's proposed updates would expand the scope of entities subject to Rule 605, modify the reporting information it requires, and change how its orders are categorized.
- Compliance
- SEC
Tip for Updating Your Compliance Program: Identity Theft Red Flag Rule
Regulation S-ID, the “Identity Theft Red Flag Rule,” requires financial institutions to implement and administer a written program designed to detect, prevent, and mitigate identity theft for customers with “covered accounts.”
- Compliance