Insights
Breaking Down Surveillance Data Silos to Achieve Risk-360
Key takeaways from the recent AIMA Fund Manager Briefing Webcast on Breaking the Surveillance Silos featuring ACA’s Pat Conroy and Marc Salter.
- RegTech
- Trade Surveillance
- eComms Surveillance
- Managed Services
Q&A: Understanding the new Remuneration Rules under the UK’s Investment Firms Prudential Regime
The UK’s Investment Firms Prudential Regime (“IFPR”) comes into force in less than 50 working days. Its more prescriptive approach to remuneration introduces new complications and challenges for firms. This essential Q&A helps you better understand your remuneration rule requirements.
- Compliance
- Managed Services
Personal Information Protection Law (PIPL) FAQs
The People’s Republic of China (PRC) has passed robust data privacy regulation that governs data security and personal information processing. This FAQ addresses questions firms may have about the nature of this legislation and its requirements.
- Cybersecurity
- Privacy
FCA Warn of 'Tough, Assertive Approach’ to Brexit TPR Landing Slot Authorisations
The FCA recently warned of "a tough, assertive approach" to financial services firms wishing to continue to operate in the UK post the Brexit Temporary Permissions Regime. Learn more about why this leaves firms at risk of being prevented from initiating further regulated activity in the UK.
- Brexit
- Compliance
SEC Chairman Gensler Signals an Increase in Scrutiny & Regulation of Private Markets Fund Industry
SEC Chariman Gary Gensler recently signaled increased scrutiny of private markets fund managers. He honed in on the significant increase in the private equity and venture capital fund industry over the last 5 years.
- Compliance
- SEC
Michael Borts joins ACA Group as the new Chief Technology Officer
Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.
- RegTech
- ACA News
Q4 2021 Regulatory Reporting Deadlines
Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from October through December 2021.
- Compliance
- Regulatory Deadlines
- RegTech
UNPRI’s Next Reporting Period Delayed Until Early 2023
The United Nations-supported Principles for Responsible Investment (PRI) recently announced a delay in the next PRI reporting period, along with the release of 2021 scores and public transparency reports. We outline what this means for firms.
- ESG
- Compliance
European Regulator Fines Major Trade Repository for EMIR Breaches
The EU’s securities markets regulator, European Securities and Markets Authority (ESMA), recently fined a major trade repository for eight breaches of the European Market Infrastructure Regulation (EMIR). We examine why it’s vital that firms review the quality of their reporting, including where it is being delegated, to be sure it meets regulatory expectations.
- Compliance
- Trade & Transaction
- RegTech
Being Smart About Your Smartphone
The more information you allow your smartphone apps to share, the easier it will be for hackers to steal this information and use it for malicious purposes. This post discusses best practices for securing your mobile device and the apps you install.
- Cybersecurity
- Cybersecurity Resources