Insights
SEC Proposes Rule Amendments Regarding SPACs, Shell Companies, and Projections
The SEC issued a rule proposal to improve investor protections in connection with both initial public offerings made by SPACs, and de-spac transactions.
- Compliance
Sustainable Securitisation: White Whale or Inevitable Next Step in Evolution?
As investor interest in ESG rises, we examine the impact on the credit sector, and in particular the European Collateralised Loan Obligation (CLO) industry and ask, is it possible to satisfy investor demand and ESG regulations?
- ESG
- Compliance
SEC Issues First ESG-Related Enforcement Action Against an Investment Adviser
SEC settles charges with the Investment Advisor for $1.5 Million
- ESG
- SEC
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.
- Compliance
- Performance
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.
- Cybersecurity
- Cybersecurity Resources
May 2022 Broker-Dealer Newsletter
ACA's Broker-Dealer team invites you to download the latest edition of our newsletter
- Compliance
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
- FCA
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.
- Compliance
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.
- Cybersecurity
- Cybersecurity Resources
SEC’s Climate & ESG Task Force Issues First Enforcement Action
SEC Claims Mining Company Mislead Investors
- ESG
- SEC