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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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ecomms surveillance

Surveillance Program Gap Analysis Checklist

Download our checklist to ensure your surveillance program can weather changing the risk environment.

Article
  • ComplianceAlpha
  • Compliance
  • eComms Surveillance
  • Trade Surveillance
International Women's Day 2024

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.

News
  • ACA News
curved glass building looking up at a blue sky

New Requirements for Broker-Dealer Execution Quality Reports

Amendments to Rule 605 also require attention from Investment Advisers and Investment Company Directors

Compliance Alert
  • Compliance
  • Broker-Dealer
  • SEC
December

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.

Article
  • Private Fund
  • Performance
  • SEC
spark

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.

Article
  • AML and Financial Crime
highway from overhead daytime

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.

Newsletter
  • Compliance
  • SEC
  • FINRA
Will SM&CR Pass its own fit and proper test

The FCA Proposes a New Approach to Publicise Investigations

The FCA’s recent proposal to publicise investigations should prompt investment firms to take a fresh look at compliance culture, platforms and testing.

Compliance Alert
  • FCA
  • Compliance
Cyber

Cyber Criminals Adapt Tactics to Attack Cloud Infrastructure

Cyber criminals likely associated with the Russian Foreign Intelligence Service are using new tactics, techniques, and procedures to gain access to cloud environments.

Cyber Alert
  • Cybersecurity
curved glass building looking up at a blue sky

FINRA’s New Remote Branch Office Inspection Pilot Program and Residential Supervisory Location Designation

FINRA recently published a regulatory notice to revise the definition of an OSJ and how OSJs are supervised.

Compliance Alert
  • Compliance
  • FINRA
Sea and rocks

California State Appeals Court Rules Immediate Enforcement of CPRA Regulations

Businesses falling under the CCPA and CPRA are now required to comply with these regulations immediately.

Cyber Alert
  • Cybersecurity