Insights
FBI Warns of Criminals Impersonating Advisers and Brokers
The FBI has warned of recent criminal activity in which threat actors impersonate investment advisers and brokers online.
- Cybersecurity
FINRA Warns of Additional Fake Emails
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.
- Cybersecurity
The UK’s Investment Firm Prudential Regime: 13 Key Considerations for Successful Implementation
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
- Compliance
- FCA
- Regulatory Deadlines
Celebrating Pride Month and Diversity at ACA
ACA's Allison Charley, co-lead of ACA ALLiance discusses ACA's commitment to a safe and welcoming workplace.
- ACA News
SEC Fines Registered Investment Adviser for Misrepresentation of Investment Performance and Marketing Violations
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.
- Performance
- SEC Marketing Rule
Q&A: Supporting the Evolution of the Industry
Ant Bennett Head of Sales and Client Development for ACA Mirabella recently spoke with HFM.
- Mirabella
- Compliance
- Brexit
ESG Examinations in Full Swing, and Most Advisers are Candidates
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.
- ESG
- SEC
- Compliance
Annual GIPS Compliance Notification Form Deadline is June 30, 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.
- Performance
What Does Pride Mean to You?
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.
- ACA News
ACA Group Boosts UK-based SEC Consulting Team
Martin Fawzy joins ACA’s dedicated team, offering SEC regulatory consulting for firms located outside of the U.S.
- Compliance
- SEC
- ACA News