Insights
An Introduction to Interval and Tender Offer Funds
Non-traditional closed-end interval and tender offer funds constitute an important segment of the investment industry. Their unique structure allows asset managers to deliver alternative and illiquid investment strategies to a broad investor base.
- Distribution
Case Study: Establishing Cybersecurity Portfolio Oversight
This case study discusses how ACA Aponix helped identify areas for cybersecurity growth, visibility, and value enhancement across Gridiron Capital LLC’s portfolio.
- Cybersecurity
- Portfolio Company Risk Management
The FTC Safeguards Rule Amendments Become Effective May 13, 2024
Beginning May 13, 2024, amendments to the "Safeguards Rule” will require subject firms to report “notification events” to the FTC as soon as possible.
- Compliance
Surveillance Program Best Practices
Surveillance requirements are as varied as the firms which deploy these tools. Our Surveillance Program Gap Analysis Checklist helps compliance officers to work through their requirements.
- RegTech
- ComplianceAlpha
Bundled Research Payments – Is It Really New, or Just Déjà Vu?
The FCA published Consultation Paper CP 24/7 introducing “payment optionality” for investment research.
- Compliance
- FCA
2024 Cybersecurity Benchmarking Survey Results
This year’s survey covered a wide range of topics and involved the participation of compliance professionals at 308 financial services firms of various sizes.
- Cybersecurity
ACA Mirabella Celebrates Ninth Consecutive Year of Success at With Intelligence HFM European Services Awards
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
- ACA News
ACA Announces Expansion of the Executive Leadership Team with Key Appointments
ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.
- ACA News
Common AML Schemes: Account Takeover
ATO schemes can be used to facilitate money laundering when attackers use stolen login credentials to transfer funds or make purchases without the account owner's knowledge or consent.
- AML and Financial Crime
SEC Examinations Division to Evaluate Firms’ Readiness for T+1
The SEC Examinations Division issued a risk alert reminding broker-dealers, clearing agencies, and investment advisers of their new obligations in connection with the transition to T+1 settlement of certain securities transactions.
- Compliance
- SEC