Insights
ACA Group Launches ACA Vantage to Help Meet Investor Expectations for Portfolio Company Cybersecurity Oversight
New solution provides private markets firms with strategic advantage to aid growing expectations into oversight of cybersecurity.
- Portfolio Company Risk Management
- Cybersecurity
- ACA News
Tip for Updating Your Compliance Program: Electronic Communications
The SEC will investigate advisers' use of electronic communication platforms. Advisors should review policies, poll employees, test email domains, and train staff to avoid penalties.
- eComms Surveillance
- Compliance
- RegTech
Phishing Campaign Taking Advantage of Annual Form ADV Update
Cybercriminals are posing as regulators in phishing attempts on investment advisers, requesting data, and threatening inactivity if not provided. Learn how to identify these phishing attempts and what to do if you receive one.
- Cybersecurity
White Paper: Interval and Tender Offer Funds
Learn the regulatory framework and operational considerations associated with unlisted closed-end funds.
- Distribution
Proposed Amendments for Regulation NMS
The SEC proposed various rule amendments to Regulation NMS to adopt variable minimum pricing increments, reduce access fee caps, and enhance the transparency of better-priced orders.
- Compliance
- SEC
ACA Chooses to #EmbraceEquity to Resist Inequality
ACA hosted a full month of celebrations focused on all of our hardworking women in the workplace.
- ACA News
Proposed Regulation Best Execution Standard
The SEC proposed new regulations requiring broker-dealers to establish policies on conflicted transactions, assess execution quality, and preserve regulation compliance records, among other specific provisions.
- Compliance
- SEC
Tip for Updating Your Compliance Program: ESG
Investor demand has pushed funds to incorporate more ESG factors. As a result, the SEC has launched a Climate and ESG Task Force to identify ESG-related misconduct.
- ESG
- SEC
ACA Awarded Most Innovative Trade Surveillance Solution
ACA Group is proud to be recognized for most innovative trade surveillance solution at this year’s A-Team Innovation awards announced March 23, 2023.
- ComplianceAlpha
- RegTech
- ACA News
- Trade & Transaction
ACA Group Launches ACA Signature to Meet Client Demand for Outsourced Compliance Programs
New scalable solution is curated to suit financial firms’ unique compliance needs and challenges
- ACA News