Insights
SEC Conducts Sweep of AI Use by Investment Advisers
As part of the SEC’s recent focus on AI, the Division of Examinations has initiated a sweep of investment advisers on how AI-based tools are being used by the firms.
- Compliance
- Cybersecurity
The Case for Outsourcing Investment Performance Services
By streamlining processes and leveraging the third-parties, firms can improve the efficiency and accuracy of their performance measurement and reporting processes, potentially leading to further cost savings.
- Performance
Three Eras of Cybersecurity Portfolio Oversight
Cybersecurity oversight of portfolio companies is continually evolving to meet new risks. Three eras can be roughly defined based on different approaches that have been adopted.
- Cybersecurity
2024 Environmental, Social, and Governance (ESG) Regulations Calendar Highlights
Our calendar highlights important ESG regulation effective dates and disclosure and reporting obligations for 2024 in the UK and EU.
- ESG
Private Fund Adviser Rules Cheat Sheet
Our SEC Private Fund Adviser Rules cheat sheet is designed to simplify these intricate regulations.
- Private Fund
- SEC
- Compliance
- Performance
ACA Group Advancing Beyond Boundaries by Clinching RegTech100 for Innovation and Growth
ACA is thrilled to announce that it has been recognized once again as a RegTech100 company for 2024 by RegTech Analyst.
- ComplianceAlpha
- RegTech
Laying the Groundwork for Future Shadow Trading Enforcement
The denial of a summary judgement in the SEC's case against a pharmaceutical company executive opens the door for the SEC to pursue other shadow trading cases.
- RegTech
- Compliance
- Trade Surveillance
Strategies to Transform Your Compliance Program with Technology - #1: Champion(s)
Having a knowledgeable, engaged business partner behind you will help ensure that technology is implemented effectively and adopted successfully.
- RegTech
- Compliance
The Corporate Transparency Act: The Latest Iteration of Customer Due Diligence in the Financial Crime Toolkit
FinCEN issued the Corporate Transparency Act to create greater transparency into the beneficial owners of small companies.
- AML and Financial Crime
- Compliance
The Slippery Slope of Private Fund Manager Issuer Exemption
For firms marketing privately-issued securities, whether as a private fund manager or issuer, ensuring their activity is compliant with FINRA or SEC regulations is essential.
- Distribution