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ESG alerts and insights

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Guidance and insights on regulatory proposals, enforcements, and risk alerts

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Are Private Markets Managers Moving Towards GIPS Compliance? 

The investor community increasingly demands that investment performance be calculated without the use of subscription lines of credit. ATP Private Equity Partners, the fund of funds arm of Denmark’s largest pension, has recently changed its due diligence process to request returns without the “flattering effect of subscription lines.”

Article
  • Performance
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CSSF Brexit preparations: Action required for AIFMs, MiFID firms and UCITS firms

The Luxembourg regulator, (the CSSF) has outlined provisions to allow for contract continuity of existing relationships established and serviced via passporting rights under various EU directives for 12 months. Application deadline is 15 September 2019. What does this mean for financial services firms?

Compliance Alert
  • Compliance
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ACA Expands Team to Meet Client Demand

ACA has significantly added to its European and Asian team this year to better service a rapidly growing number of clients and meet an increasing demand for technical and practical expertise across its GRC services and RegTech range.

Press Release
  • ACA News
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Detecting Trafficking of Fentanyl and Other Synthetic Opioids

FinCEN published an advisory to remind financial institutions of their due diligence and other Bank Secrecy Act obligations regarding the illicit financial schemes and mechanisms related to the trafficking of fentanyl or other synthetic opioid drugs. By complying with these obligations, financial institutions can help combat the opioid drug epidemic the U.S. is currently facing.

Compliance Alert
  • AML and Financial Crime
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Why Attend ACA's Fall 2019 Compliance Conference?

In just two short weeks, compliance professionals will arrive in Austin, TX for ACA’s Fall 2019 Compliance Conference. Still on the fence? Below are a few reasons why ACA’s Fall Conference is not just a conference you should attend, but one you need to attend.

Article
  • Events
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iOS Exploit Discovered

A security breach of Apple's iOS operating system that occurred over at least two years has affected countless iOS device users. Here's what you need to know to protect your personal information.

Cyber Alert
  • Cybersecurity
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Delivering on SM&CR – Do firms need to move faster?

Poll findings reveal that less than 2% of firms ready for the Senior Managers & Certification Regime, which comes into force in less than 100 days. It's clear that solo-regulated firms must accelerate the pace at which they are preparing for regulation ahead of 9 December implementation but is the work required ahead of the deadline being underestimated?

Survey
  • Compliance
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SEC Charges Investment Adviser in Connection with $105 Million Securities Fraud

On Tuesday, August 27, 2019, the U.S. Securities and Exchange Commission ("SEC") announced it had brought charges against an investment adviser in connection with a $105 million securities fraud in Pennsylvania.

Compliance Alert
  • Performance
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FlexTrade Partners with ACA Technology to Provide Data On-Demand for Trade Surveillance

ACA and FlexTrade have partnered to help their mutual clients manage their trade surveillance and compliance needs using ACA's trade surveillance technology and FlexNow.

Press Release
  • RegTech
  • Trade Surveillance
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FATF-Identified Jurisdictions with AML/CFT Deficiencies

The Financial Crimes Enforcement Network issued an advisory to remind financial institutions that updates the FATF made to their list of jurisdictions that have strategic AML/CFT deficiencies may affect their obligations with respect to these jurisdictions and that they should consider the impact these updates have on the institution’s risk-based approach.

Compliance Alert
  • AML and Financial Crime