Insights
Exploring Pathways to Market into Europe
When establishing or expanding a business in the UK and/or across the EU, there are various paths you can take. We outline key points to consider before you embark on your new business journey.
- Compliance
- FCA
- Mirabella
The Department of Labor’s Amended ERISA QPAM Exemption Goes Live June 17, 2024
The QPAM exemption suspends certain ERISA rules against conflicts of interest and self-dealing for advisers managing or advising assets of retirement plans or individual retirement accounts.
- Compliance
The ACA/NSCP AI Benchmarking Survey is Now Open
We partnered with NSCP to launch this inaugural survey to help you better understand how your peers are managing the risks and opportunities of AI.
- Compliance
- Cybersecurity
- Artificial Intelligence (AI)
Apex Group and ACA Form Strategic Partnership to Enhance Client Experience
Apex Group and ACA form strategic partnership to enhance client experience. The alliance enables clients to seamlessly identify a reputable service provider that will help support and protect their business.
- ACA News
Navigating Cybersecurity Regulatory Uncertainty
The 2024 Cybersecurity Benchmarking Survey uncovered regulatory focus on cybersecurity as a top concern within the financial sector.
- Cybersecurity
ACA's Commitment to Client Success Deepens with the Appointment of New COO
ACA Group is delighted to announce the appointment of Jean-Christophe Chandumont (JC) as Chief Operating Officer.
- ACA News
FinCEN and the SEC Propose Customer Identification Programs for Advisers
FinCEN and the SEC recently issued a proposal detailing requirements for customer identification programs for registered investment advisers and exempt reporting advisers.
- AML and Financial Crime
- SEC
The FCA Reminds Firms of the Importance of Data and Algorithmic Governance in Market Abuse Surveillance
In its Market Watch 79, the FCA issued a reminder to firms about the perils of data issues and poor algorithmic governance in tools used for market abuse surveillance.
- Compliance
- FCA
- Trade Surveillance
- RegTech
- ComplianceAlpha
The Fifth Circuit Court of Appeals Rules to Vacate the SEC's Private Fund Adviser Rules
Although the court ruled to vacated the SEC's Private Fund Adviser Rules, we do not see this as a moment to "put pencils down,” but rather to monitor closely and continue with compliance readiness under potential appeal outcomes.
- Compliance
- SEC
- Private Fund
An Overview of Interval Funds: Rule 23c-3
An overview of Rule 23c-3 forms the foundation for understanding interval funds’ fundamental structure. Rule 23c-3 delineates the regulatory framework, mechanisms, and restrictions for how interval funds conduct repurchase offers.
- Distribution