Insights
Brexit: What’s Next for Financial Services Firms?
The lack of significant Brexit rules currently governing financial services creates some confusion and challenges for firms. We've developed a free to download whitepaper that examines a range of scenarios for how firms with a UK- and EEA-based presence might structure their business in a post-Brexit world
- Brexit
- Compliance
- Mirabella
Performance Record Portability
How is performance impacted when a firm is acquired, a portfolio management team leaves, or when the firm’s legal structure changes?
- Performance
- M&A Diligence
The Rise of Environmental Justice: The ESG Risk You May Be Missing
While environmental justice is rarely called out as an ESG topic, it sits squarely at the intersection of some of the most pressing ESG challenges that we face today
- ESG
Mitigating Risks Associated with Composite Performance Reporting Using ACA’s Performance Analytics Services
In addition to developing marketing materials and ensuring appropriate disclosures, firms must ensure that the performance being generated truly reflects the fund or strategy being offered.
- Performance
- SEC Marketing Rule
NFA Announces New CPO Notice Filing Requirements
On April 13, 2021, the NFA issued a Notice to Members.
- Compliance
SEC Staff Statement on Registered Funds Investing in the Bitcoin Futures Market
The Securities and Exchange Commission’s Division of Investment Management staff released a statement this week concerning registered funds, most notably mutual funds, investing in the Bitcoin futures market. The statement addressed both perceived investor risk when investing in a mutual fund with exposure to the Bitcoin futures market, as well as IM staff’s intended coordination with the Division of Examinations and the Division of Economic and Risk Analysis. Read our summary and analysis of the statement in our compliance alert.
- Compliance
FINRA Regulatory Actions in Q1 2021
The Financial Industry Regulatory Authority’s (FINRA) Enforcement Division has issued its enforcement action summary reports for Q1 2021. The reports listed 40 enforcement actions brought against member firms. Read on for a summary of several enforcement actions brought against broker-dealers in Q1 2021.
- Compliance
Navigating Evolving Risks on the Regulatory Horizon
Regulatory change, COVID-19 fallout, and a rapidly mutating ecosystem of risks make this a challenging year for financial services firms. In our complimentary whitepaper, we examine the future of risk and compliance and how firms must respond to rapidly evolving circumstances.
- Trade & Transaction
- Compliance
- ESG
- Managed Services
- Regulatory Deadlines
- RegTech
- ComplianceAlpha
- FCA
- SEC
- Cybersecurity
- RiskMutation
- Brexit
- COVID-19
- GIPS Standards
- Mirabella
Ransomware Attack Shuts Down Major Fuel Pipeline; PE Firms Advised To Enhance Protections
A ransomware attack has led to the shutdown of the Colonial Pipeline, the largest fuel pipeline in the U.S. The Colonial Gas pipeline supplies gasoline, jet fuel, and other products to the eastern and southern U.S., providing 45% of the East Coast supply of fuel.
- Cybersecurity
- Portfolio Company Risk Management
Dell Vulnerability Discovered; Patching Advised for Millions of Users
On May 4, researchers released details of a security flaw in Dell devices. The flaw affects hundreds of millions of desktops, laptops, notebooks, and tablets. Dell has released additional details of the vulnerability and a recommended fix.
- Cybersecurity