insights banner

Insights

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

GRC hot topics

Regulatory compliance insights and alerts

Cybersecurity alerts and insights

ESG

ESG alerts and insights

GIPS® standards and performance alerts and insights

RegTech insights and alerts

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

1 of
highway at night from overhead

7 Important Actions for Managing COVID-19 Pandemic-Related Change

A recent ACA webcast, Best Practices and Strategies for Managing Business Risks Due to COVID-19 Pandemic, explored the current regulatory landscape, best compliance practices for working from home, and strategies for mitigating emerging risks. Seven important actions that compliance teams should be taking today emerged from the discussion.

Article
  • Compliance
PE Firms

Business and Risk Considerations for Portfolio Companies During the COVID-19 Pandemic

Operating partners within private markets need to consider the impact the COVID-19 pandemic will have on their investments, it is crucial that accurate information related to the preparedness of your portfolio companies is available in order to ensure timely decisions are being made. Read our best practices to accomplish this and they key risks to consider.

Article
  • Cybersecurity
  • Portfolio Company Risk Management
  • BCP
  • COVID-19
curved glass building looking up at a blue sky

EU Short Selling Restrictions: A Further Update

In the latest of a series of short selling announcements, the Belgian, French, Italian and Spanish regulators have now revealed restrictions for each jurisdiction. We examine how this impacts on financial services firms.

Compliance Alert
  • Compliance
curved glass building looking up at a blue sky

SEC Issues Conditional Temporary Exemption for Advisers Affected by Coronavirus (COVID-19)

On Friday, March 13, 2020, the Securities and Exchange Commission (SEC) issued a temporary exemption for firms affected by coronavirus (COVID-19) from certain regulatory filing deadlines or delivery requirements with respect to Form ADV and Form PF .

Compliance Alert
  • Compliance
Aponix blog background

Cybersecurity is on the Regulators' Radar

ACA's Carlo di Florio recently shared his insights with FT Adviser on the need for firms to bolster their operational resilience in preparation for a potential disaster or other business disruption.

Article
  • Cybersecurity
curved glass building looking up at a blue sky

ESMA lowers net short position reporting threshold to 0.1%

Responding to the serious adverse effects on the real economy and on EU financial markets posed by the COVID-19 pandemic, ESMA has announced it has temporarily lowered the threshold for net short position reporting to EU regulators to 0.1%.

Compliance Alert
  • Compliance
Clouds rush over skyscrapers 1200x900.jpg

How ACA is Responding to the COVID-19 Pandemic

The rapid spread of coronavirus (COVID-19) has already had a broad range of impacts, and the situation appears likely to grow more challenging in the weeks ahead.

Article
  • Compliance
curved glass building looking up at a blue sky

Market Volatility - Important Regulatory Reminders

In light of the current COVID-19-induced market rollercoaster, firms are reminded of the MiFID II “10% rule”. This rule requires that firms providing portfolio management services to clients inform these clients if the overall value of their portfolio depreciates by 10% from the beginning of the last reporting period – and each 10% thereafter.

Compliance Alert
  • Compliance
highway at night from overhead

Pandemic Response and Business Continuity FAQs for Financial Services Firms

More restrictions are being put in place every day to contain coronavirus disease 2019 (COVID-19) that could affect your firm’s operations.

Article
  • Compliance
abstract image with a lock and shield

Protecting Against Cyber Crimes Related to Coronavirus (COVID-19)

Cybersecurity crimes related to the coronavirus (COVID-19) pandemic are on the rise. Here's what you need to know to remain vigilant and protect yourself.

Cyber Alert
  • Cybersecurity