insights banner


Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

GRC hot topics

Regulatory compliance insights and alerts

Cybersecurity alerts and insights


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

1 of
AdobeStock_317630718 1200x900.jpeg

Early Signs of a Significantly More Expansive Approach to SEC Examinations of Private Markets Fund Managers

While it is too early to characterize as a trend, in Q2 2021, we started to see early signs of a significant expansion in the scope of SEC exams involving private markets fund managers.

  • Compliance
Who is responsible for GIPS compliance?

Common Practices of GIPS®-Compliant Firms

The most common question we receive from our GIPS standards verification clients is “What do other firms do?” As a result of being asked this question many times, we gathered information from over 800 firms we verify in order to provide answers to commonly asked questions that are based on real data versus anecdotal information.

  • Performance
woman looking at compliancealpha market abuse surveillance solution items of interest on laptop screen

Breaking Down Surveillance Data Silos to Achieve Risk-360

Key takeaways from the recent AIMA Fund Manager Briefing Webcast on Breaking the Surveillance Silos featuring ACA’s Pat Conroy and Marc Salter.

  • RegTech
  • Trade Surveillance
  • eComms Surveillance
  • Managed Services
Architectural image - window office block

Q&A: Understanding the new Remuneration Rules under the UK’s Investment Firms Prudential Regime

The UK’s Investment Firms Prudential Regime (“IFPR”) comes into force in less than 50 working days. Its more prescriptive approach to remuneration introduces new complications and challenges for firms. This essential Q&A helps you better understand your remuneration rule requirements.

Compliance Alert
  • Compliance
  • Managed Services
abstract blue shapes connected by dots of light

Personal Information Protection Law (PIPL) FAQs

The People’s Republic of China (PRC) has passed robust data privacy regulation that governs data security and personal information processing. This FAQ addresses questions firms may have about the nature of this legislation and its requirements.

  • Cybersecurity
  • Privacy
brexit 2

FCA Warn of 'Tough, Assertive Approach’ to Brexit TPR Landing Slot Authorisations

The FCA recently warned of "a tough, assertive approach" to financial services firms wishing to continue to operate in the UK post the Brexit Temporary Permissions Regime. Learn more about why this leaves firms at risk of being prevented from initiating further regulated activity in the UK.

Compliance Alert
  • Brexit
  • Compliance
AdobeStock_317630718 1200x900.jpeg

SEC Chairman Gensler Signals an Increase in Scrutiny & Regulation of Private Markets Fund Industry

SEC Chariman Gary Gensler recently signaled increased scrutiny of private markets fund managers. He honed in on the significant increase in the private equity and venture capital fund industry over the last 5 years.

  • Compliance
  • SEC
abstract black and white looking up at building

Michael Borts joins ACA Group as the new Chief Technology Officer

Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.

Press Release
  • RegTech
  • ACA News
abstract black and white looking up at bridge rails

Q4 2021 Regulatory Reporting Deadlines

Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from October through December 2021.

  • Compliance
  • Regulatory Deadlines
  • RegTech
wind turbines and solar panels at sunset

UNPRI’s Next Reporting Period Delayed Until Early 2023

The United Nations-supported Principles for Responsible Investment (PRI) recently announced a delay in the next PRI reporting period, along with the release of 2021 scores and public transparency reports. We outline what this means for firms.

Compliance Alert
  • ESG
  • Compliance