Insights
Court Decision Pushes Back Enforcement for the California Privacy Rights Act
The Sacramento County Superior Court has delayed the enforcement of the California Privacy Rights Act (CPRA) from July 1, 2023, to March 29, 2024, due to the delayed finalization of CPRA rules by the California Privacy Protection Agency (CPPA).
- Privacy
MiFID Research Bundling: Will the Expired Relief for U.S. Broker-Dealers be Reinstated?
MiFID II reformed research payment practices in Europe, but the expiration of relief from the SEC has prompted a bill in the U.S. House of Representatives to extend it for six months, aligning with potential changes in the regulations by the UK and EU.
- Compliance
- SEC
- Broker-Dealer
Industry Insights: Mansion House Speech Highlights Potential for the UK Markets
Will the UK Chancellor’s new packages of pension reforms boost the UK markets and open up new opportunities for investment into UK Growth Companies?
- Compliance
- FCA
SEC Marketing Rule Continues to Dominate Investment Advisers' Compliance Concerns, Survey Reveals
The 2023 Investment Management Compliance Testing Survey results reveal marketing is still the top compliance concern. Cybersecurity and electronic communications follow closely behind.
- ACA News
- Compliance
Navigating SEC Scrutiny: Enhancing The Accuracy of Fee Calculations for Private Funds
In an environment of intense regulatory scrutiny, the SEC is putting private fund managers under the microscope, focusing on fees charged to investors. In our recent article we break down the challenges and obstacles firms face as a result of these complex fees both in terms of calculations and the descriptions in the fund's governing documents.
- Performance
- SEC
- Compliance
Merger and Acquisition Platform Datasite Named as a Victim of MOVEit Breach
Datasite, which provides a data sharing platform and encrypted data rooms for potential merger and acquisition partners, is the latest victim of the MOVEit Breach.
- Cybersecurity
Regulation Best Interest Assessment and the Next Frontier
Now that Reg BI has been in place for almost three years, the industry has received a few waves of feedback from the regulators through enforcement actions, arbitrations and additional guidance. We break them down in this article.
- Compliance
- SEC
ACA Group Honored as an AIFinTech100 Company for the Second Consecutive Year
ACA Group has been named one of the 100 most innovative AIFinTech companies in the financial industry by FinTech Global.
- ACA News
Myths About Cybersecurity Portfolio Oversight: Myth #2
Cyber threats are on the rise, making robust cybersecurity oversight essential for protecting investments. We debunk a common myth about portfolio oversight.
- Cybersecurity Resources
- Cybersecurity
- Portfolio Company Risk Management
U.S. Regulatory Update – June 2023 Edition
This month's update includes insights regarding the SEC’s largest whistleblower award, FINRA’s first expulsion for firm’s Reg BI failures, and more.
- Compliance
- SEC