Insights
White Paper: Compliance Considerations for SPAC Sponsors
In our newest white paper, we explore the many operational and compliance concerns asset managers should keep in mind when sponsoring a SPAC.
- Compliance
ACA Group Enhances Compliance Team with New Hires: Former CCOs, Attorneys, and Regulators
To best serve the unique and evolving needs of our clients, ACA is adding a number of outstanding professionals to our investment adviser compliance practice. In the past few months, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry.
- Compliance
ACA Group joins United Nations-supported Principles for Responsible Investment
Reinforcing our commitment to work towards implementing ESG considerations in the global investment processes and a more sustainable financial system, we have become a signatory to the United Nations-supported Principles for Responsible Investment (PRI).
- ESG
- Compliance
- ACA News
FBI Warns of Criminals Impersonating Advisers and Brokers
The FBI has warned of recent criminal activity in which threat actors impersonate investment advisers and brokers online.
- Cybersecurity
FINRA Warns of Additional Fake Emails
The Financial Industry Regulatory Authority (FINRA) has issued an alert warning of reported additional phishing attempts using fake FINRA credentials. Per the notice, an ongoing email phishing campaign has been reported, in which the fake FINRA domain name of "gateway-finra[dot]org" is being used.
- Cybersecurity
The UK’s Investment Firm Prudential Regime: 13 Key Considerations for Successful Implementation
With less than 150 working days until the Investment Firm Prudential Regime (IFPR) comes into force, we've created a checklist capturing 13 considerations for successful implementation of the required changes ahead of the 1 Jan 2022 deadline
- Compliance
- FCA
- Regulatory Deadlines
Celebrating Pride Month and Diversity at ACA
ACA's Allison Charley, co-lead of ACA ALLiance discusses ACA's commitment to a safe and welcoming workplace.
- ACA News
SEC Fines Registered Investment Adviser for Misrepresentation of Investment Performance and Marketing Violations
On June 3, 2021, the U.S. Securities and Exchange Commission (SEC) instituted a cease-and-desist order against a previously registered investment adviser for alleged violations.
- Performance
- SEC Marketing Rule
Q&A: Supporting the Evolution of the Industry
Ant Bennett Head of Sales and Client Development for ACA Mirabella recently spoke with HFM.
- Mirabella
- Compliance
- Brexit
ESG Examinations in Full Swing, and Most Advisers are Candidates
Following the SEC’s 2021 Examination Priorities, ESG examinations are in full swing, and most advisers are candidates. In this compliance alert, we outline what the regulator expects and what your next steps should be - whether you have ESG strategies or not.
- ESG
- SEC
- Compliance