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

Insights and recommendations for maintaining compliance and operational resilience during the pandemic

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White Paper: Compliance Considerations for SPAC Sponsors

In our newest white paper, we explore the many operational and compliance concerns asset managers should keep in mind when sponsoring a SPAC.

Report
  • Compliance

ACA Group Enhances Compliance Team with New Hires: Former CCOs, Attorneys, and Regulators

To best serve the unique and evolving needs of our clients, ACA is adding a number of outstanding professionals to our investment adviser compliance practice. In the past few months, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry.

Press Release
  • Compliance
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ACA Group joins United Nations-supported Principles for Responsible Investment

Reinforcing our commitment to work towards implementing ESG considerations in the global investment processes and a more sustainable financial system, we have become a signatory to the United Nations-supported Principles for Responsible Investment (PRI).

Press Release
  • ESG
  • Compliance
  • ACA News
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FBI Warns of Criminals Impersonating Advisers and Brokers

The FBI has warned of recent criminal activity in which threat actors impersonate investment advisers and brokers online.

Cyber Alert
  • Cybersecurity
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FINRA Warns of Additional Fake Emails

The Financial Industry Regulatory Authority (FINRA) has issued an alert warning of reported additional 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 "gateway-finra[dot]org" is being used.

Cyber Alert
  • Cybersecurity
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The UK’s Investment Firm Prudential Regime: 13 Key Considerations for Successful Implementation

With less than 150 working days until the Investment Firm Prudential Regime (IFPR) comes into force, we've created a checklist capturing 13 considerations for successful implementation of the required changes ahead of the 1 Jan 2022 deadline

Article
  • Compliance
  • FCA
  • Regulatory Deadlines
Pride

Celebrating Pride Month and Diversity at ACA

ACA's Allison Charley, co-lead of ACA ALLiance discusses ACA's commitment to a safe and welcoming workplace.

News
  • ACA News
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SEC Fines Registered Investment Adviser for Misrepresentation of Investment Performance and Marketing Violations

On June 3, 2021, the U.S. Securities and Exchange Commission (SEC) instituted a cease-and-desist order against a previously registered investment adviser for alleged violations.

Compliance Alert
  • Performance
  • SEC Advertising Rule
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Q&A: Supporting the Evolution of the Industry

Following ACA Mirabella’s sixth successive win of the ‘Best Regulatory Hosting’ title at the HFM European Services Awards, Ant Bennett Head of Sales and Client Development for ACA Mirabella recently spoke with HFM about the role that regulatory hosting platforms have played throughout the Covid-19 pandemic, the Brexit effect, the impact of remote working, and what lies ahead for financial services firms.

Article
  • Mirabella
  • Compliance
  • Brexit
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ESG Examinations in Full Swing, and Most Advisers are Candidates

Following the SEC’s 2021 Examination Priorities, ESG examinations are in full swing, and most advisers are candidates. In this compliance alert, we outline what the regulator expects and what your next steps should be - whether you have ESG strategies or not.

Compliance Alert
  • ESG
  • SEC
  • Compliance