Insights
White Paper: Regulatory History Frames Current Issues for the ETF Industry
We partnered with K&L Gates to look back at the evolution of the ETF industry in the U.S. over the past 30 years. The themes highlighted in this paper will likely guide the continuing evolution of ETFs.
- Distribution
Strategies to Transform Your Compliance Program with Technology - #4: Planning
Plan your technology implementation thoughtfully, step by step.
- RegTech
- ComplianceAlpha
Benchmarking Insights: Tracking the Impact of the Private Fund Adviser Rules
We captured insights into the Private Fund Adviser Rules through a series of polling questions and examine what they mean for firms.
- Private Fund
- SEC
- Compliance
- Performance
NIST Cybersecurity Framework 2.0
The National Institute of Standards and Technology (NIST) released version 2.0 of its landmark cybersecurity framework.
- Cybersecurity
- Cybersecurity Resources
Surveillance Program Gap Analysis Checklist
Download our checklist to ensure your surveillance program can weather changing the risk environment.
- ComplianceAlpha
- Compliance
- eComms Surveillance
- Trade Surveillance
ACA's Celebration of Women's Impact from History to Herstory
ACA proudly joins the global celebration of International Women's History Month, commemorating the remarkable achievements and enduring legacies of women worldwide.
- ACA News
New Requirements for Broker-Dealer Execution Quality Reports
Amendments to Rule 605 also require attention from Investment Advisers and Investment Company Directors
- Compliance
- Broker-Dealer
- SEC
Private Fund Quarterly Statement Rule Breakdown - Performance Disclosures
In the months since the release of the final rule, we continue to dig further into the practical implications of these required disclosures and the impacts on private fund managers’ current reporting structure.
- Private Fund
- Performance
- SEC
Common AML Schemes: Business Email Compromise
Business email compromise schemes can be used to facilitate money laundering by obtaining funds that can be used for illicit purposes.
- AML and Financial Crime
U.S. Regulatory Update – February 2024
This update covers new rules for asset-backed securities transactions, tips for filing Form ADV, FINRA's new rules for home offices and the remote office inspection program, the Corporate Transparency Act, and more.
- Compliance
- SEC
- FINRA