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Insights

Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

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Brexit insights and alerts

Regulatory compliance insights and alerts

Cybersecurity alerts and insights

ESG

ESG alerts and insights

GIPS® standards and performance alerts and insights

Regulatory technology insights and alerts

Our thoughts on the RiskMutation™ phenomenon affecting the future of risk and compliance

Insights and alerts related to the SEC's new Marketing Rule

Insights and recommendations for maintaining compliance and operational resilience during the pandemic

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Brexit: EMIR Reporting - Getting the Right Repository

June 29, 2021

Brexit is another in a long line of moving goalposts that requires firms to revisit their EMIR reporting arrangements. Are you confident your reports are being submitted correctly? Download our guidance to learn more.

Compliance Alert
  • Compliance
  • Brexit
  • Trade & Transaction
  • FCA
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EEA Firms in the TPR: Have you Received your Landing Slot to Apply for Full Authorisation in the UK?

June 24, 2021

Firms that signed up to the Brexit Temporary Permissions Regime (TPR) will shortly be sent a ‘landing slot' from the FCA to apply for full authorisation in the UK. Learn more about the process, and why this is not as straightforward as it seems.

Compliance Alert
  • Brexit
  • FCA
  • Compliance
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SEC Request for Information About SolarWinds Compromise

June 24, 2021

The SEC is conducting outreach to firms who may have been a victim of the SolarWinds breach with a voluntary request to produce information.

Cyber Alert
  • Cybersecurity

Fill the Gaps this Summer with Additional Compliance Support

June 21, 2021

After the challenges of the past year, many people are looking forward to a return to normalcy and preparing to return to the office. Across the industry, many firms are dealing with an increase in staff turnover as we turn the corner post-pandemic. Other firms, including ACA, are gearing up for summer breaks to recharge. But in the compliance industry, taking a break from work isn’t as simple as turning on your “out of office” message and walking out the door.

Article
  • Compliance
  • Managed Services

AML Update for Investment Advisers

June 18, 2021

The 2015 FinCEN Proposal and several other financial crime risks make AML relevant for investment advisers and all other participants in the securities and financial industry. This update summarizes key developments in the AML space during the first half of 2021 and how they may impact your firm.

Compliance Alert
  • AML and Financial Crime
  • Compliance
Juneteenth

Juneteenth – A Time to Reflect

June 18, 2021

Juneteenth, Freedom Day, Jubilee Day, Liberation Day, Emancipation Day – These are all names for the day we recognize that a group of enslaved people in Galveston, Texas finally learned that they were free from the institution of slavery - June 19, 1865. What makes this day so significant is that this was two and a half years after the Emancipation Proclamation by President Lincoln, a constant reminder that significant change can unfortunately take time.

News
  • ACA News
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New Research Shows That 97% of Firms are Reporting Incorrectly Under MiFIR/EMIR

June 17, 2021

Recent research and analysis shows 97% of reports under MIFIR/EMIR contain inaccuracies, on average each report has 30 separate error types. But worryingly, despite this, 87% of firms are confident in the quality of their reports. On the anniversary of EMIR REFIT, data quality is still poor

Press Release
  • Compliance
  • Trade & Transaction
  • Managed Services
  • ACA News

White Paper: Compliance Considerations for SPAC Sponsors

June 17, 2021

In our newest white paper, we explore the many operational and compliance concerns asset managers should keep in mind when sponsoring a SPAC.

Report
  • Compliance

ACA Group Enhances Compliance Team with New Hires: Former CCOs, Attorneys, and Regulators

June 16, 2021

To best serve the unique and evolving needs of our clients, ACA is adding a number of outstanding professionals to our investment adviser compliance practice. In the past few months, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry.

Press Release
  • Compliance
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ACA Group joins United Nations-supported Principles for Responsible Investment

June 15, 2021

Reinforcing our commitment to work towards implementing ESG considerations in the global investment processes and a more sustainable financial system, we have become a signatory to the United Nations-supported Principles for Responsible Investment (PRI).

Press Release
  • ESG
  • Compliance
  • ACA News