Insights
Russell Investments Selects ACA Group’s ComplianceAlpha to Modernize Their Risk and Compliance Program from a Single Platform
Russell Invesments has selected ACA's ComplianceAlpha® to help modernize and streamline their compliance program.
- ComplianceAlpha
- RegTech
- ACA News
SEC Turns Watchful Eye on ESG
A recent flurry of activity from the SEC has made it crystal clear that ESG will be a top priority in the near and long term.
- ESG
- Compliance
- SEC
FAQ: Implementing the Updated PRI Framework
Our ESG advisory team answered a few of the most common questions that firms asked during the recent webcast Implementing the Updated PRI Framework.
- ESG
FCA Confirms Dates for Cessation of Panel Submissions For All LIBOR Settings
With the FCA confirming dates for the cessation of panel submissions for LIBOR settings, the markets have received some much-needed clarity on fast-approaching deadlines around the transition away from LIBOR. We examine what firms must do next.
- Compliance
FINRA Announces Its 2021 Risk Monitoring and Examinations Report
FINRA recently released its Risk Monitoring and Examination Activities Report, which provides guidance on FINRA’s current examination priorities and describes its examination findings during 2020.
- Compliance
Division of Examinations’ 2021 Exam Priorities for Registered Investment Companies
The SEC's Division of Examinations recently released their 2021 examination initiatives. This year, the Division singled out mutual funds and ETFs in its discussion.
- Compliance
- SEC
SEC Announces 2021 Examination Priorities
On March 3, 2021, the U.S. Securities and Exchange Commission’s Division of Examinations released their FY2021 Examination Priorities. The Priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. The 2021 Priorities reflect a significant shift and increased focus on climate and environmental, social, and governance (ESG) related risks and strategies.
- Compliance
- SEC
FINRA Warns of Fake Emails
The Financial Industry Regulatory Authority (FINRA) has issued an alert warning of reported 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 supports @finra-online.com is being used.
- Cybersecurity
We Are Now ACA Group
This week, ACA Compliance Group made the move to ACA Group, better known to our clients and industry partners as ACA.
- ACA News
NFA Warns of Fake Emails
The NFA issued a notice to members warning of reported phishing attempts using fake NFA credentials. The phishing campaign includes emails using a fake domain that mimics the NFA’s domain name.
- Cybersecurity