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Insights

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

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Regulatory compliance insights and alerts

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ESG alerts and insights

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Insights and alerts related to the SEC's new Marketing Rule

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

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SEC Division of Examinations 2022 Examination Priorities

On March 30, 2022, the U.S. Securities and Exchange Commission’s Division of Examinations released its FY2022 Examination Priorities. Read our insights.

Compliance Alert
  • Compliance
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SEC Maintains Information Security and Operational Resilience Focus in 2022

The SEC Division of Examinations released their annual Exam Priorities for the fiscal year (FY) 2022 and has highlighted information security and operational resiliency as significant focus areas for examinations.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
Cement Room

Potential Ramifications of the SEC’s Novel Shadow Trading Theory

This application of the “misappropriation theory” of insider trading is a reminder to assess whether MNPI is material to the value of shares of public companies.

Article
  • Compliance
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ACA 2022 Partner and Senior Managing Director Announcements

ACA Group is pleased to announce the promotions of the following individuals. Each has contributed significantly to the growth of ACA and has provided exemplary service to their clients.

Press Release
  • ACA News
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Finding Stability in an Unpredictable World: Watch On-Demand

What are the financial services trends set to shape the financial services world over the next two years? Tune in to our on-demand Regulatory Horizon 2022 conference session to learn more. Topics include Equivalence or divergence, the future for MiFID II and AIFMD, what's next for SEC exams and enforcements and the new world of work: managing people, processes and technology in a disruptive time.

Article
  • Compliance
  • FCA
  • SEC
  • Brexit
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Operational Resilience in Focus, Part One: What is Operational Resilience?

In the first part of our Operational Resiliency Series, we dissect what exactly is operational resiliency, what are its domains, the foundational components, the benefits of operational resiliency and how it's different from business continuity planning.

Article
  • Cybersecurity
  • Cybersecurity Resources
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The Resurgence of After-Tax Performance

Firms are struggling without up-to-date standards for after-tax performance reporting, or readily available systems to guide their decision making.

Article
  • Performance
ACA Annual Conference 2022

Keynote Panel Announced for ACA's 2022 Annual Conference

Join us for a virtual conference for firms with a U.S. presence. We’ll explore hot topics in compliance, performance, cyber, ESG, and RegTech.

News
  • Compliance
  • RegTech
  • ESG
  • Cybersecurity
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SEC New Marketing Rule: The Compliance Clock is Ticking

After 60 years of little to no amendments, The U.S. Securities and Exchange Commission’s (SEC) rules on advertising are set to change. With significant updates and changes ahead, learn why firms should begin preparing now to meet the November 2022 compliance deadline,

Article
  • Compliance
  • Performance
  • SEC
  • SEC Marketing Rule
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FINRA 2022 Risk Monitoring and Examination Priorities

The report identifies applicable rules and related compliance considerations for broker-dealers, summarizes recent exam findings, and describes best practices.

Compliance Alert
  • Compliance