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Regulatory change is here for Private Fund Advisers

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SEC Issues First ESG-Related Enforcement Action Against an Investment Adviser

SEC settles charges with the Investment Advisor for $1.5 Million

Article
  • ESG
  • SEC
Cement Room

Operational Challenges with Performance Calculation and Reporting

Strengthen performance calculation and reporting processes to combat the opportunity for error caused by heightened investor scrutiny and new regulatory requirements.

Article
  • Compliance
  • Performance
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CISA Issues Emergency Directive and Cybersecurity Advisory for VMware Vulnerabilities

The Cybersecurity & Infrastructure Security Agency (CISA) issued Cybersecurity Advisory (CSA) AA22-138B and Emergency Directive (ED) 22-03 alerting users to active vulnerabilities susceptible to exploitation in several VMware products.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
ACA Global

May 2022 Broker-Dealer Newsletter

ACA's Broker-Dealer team invites you to download the latest edition of our newsletter

Newsletter
  • Compliance
Highways

The FCA’s 2022/23 Business Plan and Three-Year Strategy: Key Takeaways

Key takeaways from the FCA's recent three-year Strategy, setting out aims to improve outcomes for UK consumers and markets, as well as the FCA’s 2022/23 Business Plan, with actions to be taken by the FCA over the next twelve months.

Compliance Alert
  • Compliance
  • FCA
Cement Room

Compliance Challenges for Open-End Real Estate Vehicles

Understanding the key elements of operating an open-end real estate vehicle is pivotal to evaluating risks and implementing sufficient compliance oversight.

Article
  • Compliance
abstract image with a lock and shield

Global Cybersecurity Authorities Warn of Cyber Threats Against Managed Service Providers

The joint Cybersecurity Advisory (CSA) advises that MSPs, are prime targets for cyber-attacks, a trend likely to continue for the foreseeable future, as threat actors aim to exploit the innate trust in MSP-customer relationships.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
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SEC’s Climate & ESG Task Force Issues First Enforcement Action

SEC Claims Mining Company Mislead Investors

Article
  • ESG
  • SEC
View of buildings looking up

The 2022 Investment Management Compliance Testing Survey is Now Open

The survey, now in its 17th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.

Survey
  • Compliance
Sea against rocks

A Drop of Clarity in the Regulatory Sea of Change

As we tentatively emerge into the post-pandemic world, the global financial industry has a myriad of regulatory hurdles to navigate. We provide guidance on key areas that firms will need to focus on in the coming months.

Article
  • Compliance
  • ESG
  • SEC Marketing Rule