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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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ESG alerts and insights

GIPS® standards and performance alerts and insights

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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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FBI Warns of Criminals Impersonating Advisers and Brokers

June 15, 2021

The FBI has warned of recent criminal activity in which threat actors impersonate investment advisers and brokers online.

Cyber Alert
  • Cybersecurity
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FINRA Warns of Additional Fake Emails

June 10, 2021

The Financial Industry Regulatory Authority (FINRA) has issued an alert warning of reported additional phishing attempts using fake FINRA credentials. Per the notice, an ongoing email phishing campaign has been reported, in which the fake FINRA domain name of "gateway-finra[dot]org" is being used.

Cyber Alert
  • Cybersecurity
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The UK’s Investment Firm Prudential Regime: 13 Key Considerations for Successful Implementation

June 10, 2021

With less than 150 working days until the Investment Firm Prudential Regime (IFPR) comes into force, we've created a checklist capturing 13 considerations for successful implementation of the required changes ahead of the 1 Jan 2022 deadline

Article
  • Compliance
  • FCA
  • Regulatory Deadlines
Pride

Celebrating Pride Month and Diversity at ACA

June 09, 2021

ACA's Allison Charley, co-lead of ACA ALLiance discusses ACA's commitment to a safe and welcoming workplace.

News
  • ACA News
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SEC Fines Registered Investment Adviser for Misrepresentation of Investment Performance and Marketing Violations

June 08, 2021

On June 3, 2021, the U.S. Securities and Exchange Commission (SEC) instituted a cease-and-desist order against a previously registered investment adviser for alleged violations.

Compliance Alert
  • Performance
  • SEC Advertising Rule
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Q&A: Supporting the Evolution of the Industry

June 07, 2021

Following ACA Mirabella’s sixth successive win of the ‘Best Regulatory Hosting’ title at the HFM European Services Awards, Ant Bennett Head of Sales and Client Development for ACA Mirabella recently spoke with HFM about the role that regulatory hosting platforms have played throughout the Covid-19 pandemic, the Brexit effect, the impact of remote working, and what lies ahead for financial services firms.

Article
  • Mirabella
  • Compliance
  • Brexit
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ESG Examinations in Full Swing, and Most Advisers are Candidates

June 03, 2021

Following the SEC’s 2021 Examination Priorities, ESG examinations are in full swing, and most advisers are candidates. In this compliance alert, we outline what the regulator expects and what your next steps should be - whether you have ESG strategies or not.

Compliance Alert
  • ESG
  • SEC
  • Compliance
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Annual GIPS Compliance Notification Form Deadline is June 30, 2021

June 01, 2021

​​​​​​​Organizations that claim compliance with the Global Investment Performance Standards (GIPS®) are required to notify CFA Institute of their claim of compliance by June 30, 2021.

Article
  • Performance
Pride

What Does Pride Mean to You?

June 01, 2021

ACA’s celebration of Pride Month is a part of its commitment to fostering diversity and inclusion in its workplace. Our LGBTQ+ and ally Employee Resource Group ACA ALLiance is hosting many activities during the month of June to help provide education and resources to employees. To kick off our celebration, we asked employees from across the firm, "What does Pride mean to you?" and have included their responses in this post.

Article
  • ACA News
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ACA Group Boosts UK-based SEC Consulting Team

May 27, 2021

Martin Fawzy joins ACA’s dedicated team, offering SEC regulatory consulting for firms located outside of the U.S.

Press Release
  • Compliance
  • SEC
  • London
  • ACA News