insights banner

Insights

Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

GRC hot topics

Regulatory compliance insights and alerts

Cybersecurity alerts and insights

ESG

ESG alerts and insights

GIPS® standards and performance alerts and insights

RegTech insights and alerts

Insights and alerts related to the SEC's new Marketing Rule

Guidance and insights on regulatory proposals, enforcements, and risk alerts

Regulatory change is here for Private Fund Advisers

1 of
cyber lock

SEC’s OCIE Releases Cybersecurity and Resiliency Observations from Examinations

SEC's OCIE released Cybersecurity and Resiliency Observations from its examinations of SEC-registered firms. Here's what you need to know.

Compliance Alert
  • Cybersecurity
cyber trends - 980x550_7.png

10 Cybersecurity Trends for 2020

As we begin 2020, here’s a list of 20 cybersecurity trends and predictions to prepare for in the coming year.

Article
  • Cybersecurity
curved glass building looking up at a blue sky

SEC publishes FAQs for Regulation Best Interest

On January 10, 2020, the U.S. Securities and Exchange Commission (“SEC”) published Frequently Asked Questions on Regulation Best Interest. Regulation Best Interest (“Reg BI”) establishes a standard of conduct for broker-dealers and investment advisers and their associated persons. Its compliance date is June 30, 2020.

Compliance Alert
  • Compliance
curved glass building looking up at a blue sky

SFTR Reporting – EMIR’s New Sidekick

Changes to the Securities Financing Transaction Regulation (SFTR) come into force for many financial services firms from 11 April. We examine what firms need to do to determine their reporting requirements and why they should do this now

Compliance Alert
  • Compliance
curved glass building looking up at a blue sky

The Impact of OCIE’s 2020 Examination Priorities on Registered Investment Companies

On January 7, 2020, the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released its 2020 examination priorities. In this alert, we focus on on the impact of the priorities on registered investment companies.

Compliance Alert
  • Compliance
abstract image with a lock and shield

Microsoft Issues Patch for Critical CryptoAPI Security Vulnerability

Learn what actions to take regarding the recent Microsoft® security update to the CryptoAPI component (Crypt32.dll).

Cyber Alert
  • Cybersecurity
New York City from above at twilight

Shvetank Shah joins ACA Compliance Group as Chief Executive Officer

Shvetank joins ACA from executive positions at CEB/Gartner and will oversee ACA’s global operations

News
  • ACA News
curved glass building looking up at a blue sky

Global Regulators Renew Commitment to Data and Analytics Innovation in 2020

With the New Year comes the global regulators’ announcements of their supervisory priorities and focus areas for the year ahead. Both the SEC and FCA have issued press releases regarding their views on technology and the role it plays in regulatory oversight.

Compliance Alert
  • RegTech
curved glass building looking up at a blue sky

SEC Announces 2020 Examination Priorities

On January 7, 2020, the U.S. SEC's Office of Compliance Inspections and Examinations announced its examination priorities for 2020. The priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. Learn more about what the priorities mean for you.

Compliance Alert
  • Compliance
highway at night from overhead

The Impact of the 5th Money Laundering Directive

The 5th Money Laundering Directive came into effect on 10 January, impacting regulated firms across the UK / EU. We examine out how the new iteration of the directive amends and enhances existing arrangements, and what this means for firms.

Article
  • Compliance