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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

Regulatory change is here for Private Fund Advisers

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2023 Hispanic Heritage Month

Cultural Connections: ACA's HOLA ERG Celebrates Hispanic Heritage Month

ACA is proud to celebrate Hispanic Heritage Month from September 15 - October 15 alongside our Hispanic/Latinx Organization for Leadership and Advancement (HOLA) Employee Resource Group (ERG)!

News
  • ACA News
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CFA Institute Releases Draft Guidance Statement for OCIO Strategies

The CFA Institute released an Exposure Draft Guidance Statement for OCIO Strategies to encourage more outsourced Chief Investment Officers to claim GIPS compliance.

Article
  • Performance
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Lessons Learned From Recent AML Enforcement Actions

By analyzing recent cases, institutions can identify regulatory trends and enhance their compliance framework to mitigate potential risks.

Article
  • AML and Financial Crime
  • ComplianceAlpha
  • RegTech
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Market Makers – What You Should Know

Market makers are broker-dealer firms that provide pricing for ETFs and liquidity in the secondary market.

Article
  • Distribution
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SEC Private Fund Adviser Rules: What Made the Cut

The SEC recently voted to adopt new rules and amendments, known as the Private Fund Adviser Rule. Here's a summary of the new rules and how they changed from the original proposals.

Compliance Alert
  • Compliance
  • Performance
  • Private Fund
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White Paper: How to Effectively Utilize the Cyber Threat Landscape

This white paper takes a look at the current threat landscape to glean lessons from cyberattacks that can help firms secure their organizations.

Report
  • Cybersecurity
  • Cybersecurity Resources
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Case Study: Global Investment Performance Standards Compliance for a Large Investment Manager

Leveraging a GRC firm’s expertise and resources enabled the company to overcome its complex challenges and improve its investment performance program while maintaining a high level of compliance with the Global Investment Performance Standards.

Case Study
  • Performance
  • Managed Services
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The New TPF Regime: Treating Politicians Fairly?

The FCA has asked politically exposed persons to share their experiences with regulated firms as part of the regulator's review of firms’ treatment of PEPs.

Compliance Alert
  • Compliance
  • AML and Financial Crime
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ESG Marketing in the SEC's Crosshairs

The SEC's specialized Climate and ESG Task Force recently issued subpoenas to several asset managers requesting marketing materials related to environmental, social, and governance.

Compliance Alert
  • ESG
  • Investment Adviser
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Active Risk Alert: Traders Targeted via WinRAR Vulnerability

A zero-day vulnerability has been identified in versions of compression tool WinRAR predating August 2, 2023

Cyber Alert
  • Cybersecurity