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Regulatory change is here for Private Fund Advisers

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ACA Threat Intelligence Alert Blog Image

Regulatory Cyber Alert: Cyber Incidents Reported to the FCA by UK Financial Services Firms Increased by 1,087% in 2018

A recent Freedom of Information request to the UK’s Financial Conduct Authority (FCA) by accounting firm RSM revealed that 819 cyber incidents were reported to the FCA during 2018 – almost a 12-fold

Compliance Alert
  • Cybersecurity
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Investment Adviser Standard of Conduct and Form CRS - What You Need to Know (Part 1 of 2)

On June 5, 2019, the SEC released a final comprehensive interpretation of the standard of conduct for investment advisers, which will become immediately effective upon publication in the Federal Register (anticipated July 2019). Here's what you need to know.

Compliance Alert
  • Compliance
ACA Threat Intelligence Alert Blog Image

Regulatory Cyber Alert: ICO to Fine British Airways £183.39m ($230M) Under GDPR for Data Breach

The UK's ICO plans to fine British Airways £183.39m ($230M) under the General Data Protection Regulation (GDPR) for a breach that occurred in 2018. The proposed penalty represents the largest fine of a company since GDPR came into force.

Compliance Alert
  • Cybersecurity
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Market Abuse Regulation three years on: is this still a priority for the regulator?

This week marks three years since the Market Abuse Regulation (MAR) overhauled the civil market abuse regime across Europe, repealing and replacing the Market Abuse Directive (MAD) and the UK’s own

Article
  • Compliance
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June 2019 Broker-Dealer Newsletter

ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.

Newsletter
  • Compliance
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When is marketing not marketing? When it’s pre-marketing - Omnibus proposals bring fresh clarity from Europe

When the Alternative Investment Fund Managers Directive (“AIFMD”) came into force back in the heady days of 2013, it brought into the financial lexicon terms that are now well-worn phrases such as “

Compliance Alert
  • Compliance
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The 2020 GIPS Standards: The Top Changes You Need to Know

After much anticipation from the investment management community, CFA Institute released the 2020 GIPS Standards on June 28, 2019. The newest version represents the most significant changes since the 2010 edition of the GIPS standards went into effect on January 1, 2011.

Article
  • Performance
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Cyber Alert: Vulnerability Discovered in Microsoft Excel; Rise in Spear-Phishing Attacks

This alert contains information about a vulnerability discovered in Microsoft® Excel®, as well as information about a recent rise in spear-phishing attacks attributable to

Cyber Alert
  • Cybersecurity
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M&A Due Diligence Challenges: Pre-Deal IT Due Diligence

Our M&A Due Diligence Challenges blog series addresses the changing nature of IT, cybersecurity, and data privacy and how investors can manage these risks and increase their chances of achieving a successful M&A transaction. We also discuss tales from the trenches and lessons learned from M&A due diligence we have performed for clients.

Article
  • Cybersecurity
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Recent Industry Trends: Alternative Asset Managers and the GIPS Standards

Every few years, ACA and eVestment release a joint survey that queries industry participants on the value of compliance with the GIPS standards. One continual trend that we have noticed is an uptick in interest among alternative asset managers in the GIPS standards.

Article
  • Performance