Insights
FCA Market Watch 69: Focus on Market Conduct and Transaction Reporting
The regulator discusses firms’ arrangements for market abuse surveillance - drawing on their observations from engaging with small and medium-sized firms.
- Compliance
- RegTech
- FCA
- Trade & Transaction
- Trade Surveillance
- ComplianceAlpha
SEC’s New ESG Disclosure Proposal Aims to Increase Transparency
The proposed rules require private funds to report ESG investing and integration practices.
- ESG
6 Strategies for Digitizing Your Compliance Program
This guide provides the strategies, insights, and resources for tech-enabling your compliance program and transforming it into a progressive powerhouse.
- RegTech
- ComplianceAlpha
SEC Proposes Rule Amendments Regarding SPACs, Shell Companies, and Projections
The SEC issued a rule proposal to improve investor protections in connection with both initial public offerings made by SPACs, and de-spac transactions.
- Compliance
Sustainable Securitisation: White Whale or Inevitable Next Step in Evolution?
As investor interest in ESG rises, we examine the impact on the credit sector, and in particular the European Collateralised Loan Obligation (CLO) industry and ask, is it possible to satisfy investor demand and ESG regulations?
- ESG
- Compliance
SEC Issues First ESG-Related Enforcement Action Against an Investment Adviser
SEC settles charges with the Investment Advisor for $1.5 Million
- ESG
- SEC
Operational Challenges with Performance Calculation and Reporting
Strengthen performance calculation and reporting processes to combat the opportunity for error caused by heightened investor scrutiny and new regulatory requirements.
- Compliance
- Performance
CISA Issues Emergency Directive and Cybersecurity Advisory for VMware Vulnerabilities
The Cybersecurity & Infrastructure Security Agency (CISA) issued Cybersecurity Advisory (CSA) AA22-138B and Emergency Directive (ED) 22-03 alerting users to active vulnerabilities susceptible to exploitation in several VMware products.
- Cybersecurity
- Cybersecurity Resources
May 2022 Broker-Dealer Newsletter
ACA's Broker-Dealer team invites you to download the latest edition of our newsletter
- Compliance
The FCA’s 2022/23 Business Plan and Three-Year Strategy: Key Takeaways
Key takeaways from the FCA's recent three-year Strategy, setting out aims to improve outcomes for UK consumers and markets, as well as the FCA’s 2022/23 Business Plan, with actions to be taken by the FCA over the next twelve months.
- Compliance
- FCA