GRC hot topics
Looking to launch an ETF? We share what you need to know to get started including costs, timing, and resources required.
The SEC put out a Bulletin “to help insure investment professionals live up to” their obligations under Regulation BI and the Commission Interpretation Regarding Standard of Conduct for Investment Advisers (the “Fiduciary Interpretation”). We share tips for meeting these standards.
In December 2022 the FCA issued final notice against a UK regulated bank for serious and persistent gaps in its anti-money laundering (AML) controls in its Business Banking portfolio. New reporting shows the UK Post Office system was specifically targeted to launder those proceeds and moved approximately £1.3bln through the institution.
- AML and Financial Crime
We’ve put together an FAQ to help you navigate the various requirements of being a PRI signatory (including the annual reporting requirement).
The survey, now in its 18th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.
Upcoming regulations will likely require more board oversight and involvement in a company's cybersecurity program. Our checklist can help you create an effective report for the board to perform its required cybersecurity oversight.
- Portfolio Company Risk Management
Michael Reddy has joined the firm as Global Services Leader, overseeing ACA’s Regulatory Technology (RegTech) platform, ComplianceAlpha®, and Managed Services.
- ACA News
- Managed Services
The SEC makes it clear that all broker-dealers and investment advisers have conflicts of interest, and that firms must have a process to identify, mitigate, or eliminate these conflicts.
Fact sheets are one of the main tools that investors reference when analyzing mutual funds, and they can be an essential marketing piece to attract and engage additional shareholders.
The FCA released their 2023/24 Business Plan on 5 April 2023 detailing the actions the UK regulator aims to take over the next 12 months.