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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

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

Regulatory change is here for Private Fund Advisers

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Creating Value in a Cybersecurity Portfolio Oversight Program

A programmatic approach to cybersecurity portfolio oversight not only focuses on traditional downside risk management activities, but also on value creation opportunities.

Article
  • Cybersecurity
  • Cybersecurity Resources
  • Portfolio Company Risk Management
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The SEC Unveils New N-PORT Reporting Amendments for Registered Investment Companies

Amendments to Form N-PORT will both increase the frequency of reporting and compress the reporting schedule for funds to report detailed information about their portfolio holdings.

Compliance Alert
  • Compliance
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What to Know About Direct Channels for Mutual Fund Distribution

This article will discuss the advantages and disadvantages of using an intermediary channel when distributing a mutual fund.

Article
  • Distribution
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Key Points From the XLoD Global Surveillance Summit New York 2024

The summit revealed that although innovation in compliance is importance, but it’s clear that many firms are still finding it challenging to keep pace.

Article
  • RegTech
  • ComplianceAlpha
  • eComms Surveillance
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Common AML Schemes: Trusts

Money launderers may use trusts to conceal the true ownership of assets or the source of funds.

Article
  • AML and Financial Crime
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Key Legal and Compliance Issues of an ETF

Commodity ETFs have very different tax implications depending on how the fund is structured.

Article
  • Distribution
  • Mutual Fund
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Case Study: Outsourcing Global Investment Performance Standards Compliance

By partnering with ACA, the firm was able to successfully map out a clear timeline to achieve GIPS compliance, benefiting from our expertise in performance measurement and comprehensive management of the compliance process.

Case Study
  • Performance
  • Managed Services
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Top Five Investment Performance Trends

ACA recently conducted a survey of 700 GIPS compliant firms to learn more about performance calculations, concerns, and other hot topics within the investment management industry.

Survey
  • Performance
ACA Vantage

Managing Risks in a Cybersecurity Portfolio Oversight Program

A programmatic approach to cybersecurity portfolio oversight is recommended for a consistent approach to managing risk across the portfolio.

Article
  • Cybersecurity
  • Cybersecurity Resources
  • Portfolio Company Risk Management
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SEC Registration Timeline and Considerations

Investment adviser registration in the U.S. can be a long and arduous process. Download our guide to understand the process.

Article
  • Compliance
  • SEC