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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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SEC Proposes Amendments to Modernize the Investment Company “Names Rule”

On May 25th, the SEC released proposed rule amendments to the Investment Company Act “Names Rule” for investment companies and business development companies related to the naming of funds.

Article
  • ESG
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FCA Market Watch 69: Focus on Market Conduct and Transaction Reporting

The regulator discusses firms’ arrangements for market abuse surveillance - drawing on their observations from engaging with small and medium-sized firms.

Compliance Alert
  • Compliance
  • RegTech
  • FCA
  • Trade & Transaction
  • Trade Surveillance
  • ComplianceAlpha
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SEC’s New ESG Disclosure Proposal Aims to Increase Transparency

The proposed rules require private funds to report ESG investing and integration practices.

Article
  • ESG
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6 Strategies for Digitizing Your Compliance Program

This guide provides the strategies, insights, and resources for tech-enabling your compliance program and transforming it into a progressive powerhouse.

Article
  • RegTech
  • ComplianceAlpha
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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 Alert
  • Compliance
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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?

Article
  • ESG
  • Compliance
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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
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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