Insights
SEC Division of Examinations 2022 Examination Priorities
On March 30, 2022, the U.S. Securities and Exchange Commission’s Division of Examinations released its FY2022 Examination Priorities. Read our insights.
- Compliance
SEC Maintains Information Security and Operational Resilience Focus in 2022
The SEC Division of Examinations released their annual Exam Priorities for the fiscal year (FY) 2022 and has highlighted information security and operational resiliency as significant focus areas for examinations.
- Cybersecurity
- Cybersecurity Resources
Potential Ramifications of the SEC’s Novel Shadow Trading Theory
This application of the “misappropriation theory” of insider trading is a reminder to assess whether MNPI is material to the value of shares of public companies.
- Compliance
Protecting Seniors and Vulnerable Adults Against Financial Exploitation
Elderly populations are vulnerable to scammers in various ways, and lawmakers are aggressively pursuing methods to protect senior investors from fraud.
- Compliance
ACA 2022 Partner and Senior Managing Director Announcements
ACA Group is pleased to announce the promotions of the following individuals. Each has contributed significantly to the growth of ACA and has provided exemplary service to their clients.
- ACA News
Finding Stability in an Unpredictable World: Watch On-Demand
What are the financial services trends set to shape the financial services world over the next two years? Tune in to our on-demand Regulatory Horizon 2022 conference session to learn more. Topics include Equivalence or divergence, the future for MiFID II and AIFMD, what's next for SEC exams and enforcements and the new world of work: managing people, processes and technology in a disruptive time.
- Compliance
- FCA
- SEC
- Brexit
Operational Resilience in Focus, Part One: What is Operational Resilience?
In the first part of our Operational Resiliency Series, we dissect what exactly is operational resiliency, what are its domains, the foundational components, the benefits of operational resiliency and how it's different from business continuity planning.
- Cybersecurity
- Cybersecurity Resources
The Resurgence of After-Tax Performance
Firms are struggling without up-to-date standards for after-tax performance reporting, or readily available systems to guide their decision making.
- Performance
Keynote Panel Announced for ACA's 2022 Annual Conference
Join us for a virtual conference for firms with a U.S. presence. We’ll explore hot topics in compliance, performance, cyber, ESG, and RegTech.
- Compliance
- RegTech
- ESG
- Cybersecurity
FINRA Rule 4111 – Knock-Out Blow from FINRA?
Under new Rule 4111, FINRA will evaluate its members to determine which broker-dealers will be categorized as “Restricted Firms.”
- Compliance