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

Guidance and insights on regulatory proposals, enforcements, and risk alerts

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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.

Cyber Alert
  • Cybersecurity

White Paper: Interval and Tender Offer Funds

Learn the regulatory framework and operational considerations associated with unlisted closed-end funds.

  • Distribution
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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 Alert
  • Compliance
  • SEC
International Womens Day 2023

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 Alert
  • 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
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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

Press Release
  • ACA News
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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 Alert
  • Compliance
  • SEC
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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