Industry Insights

Rethinking Sustainable Finance: Clarity and Credibility Take Center Stage

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Moving beyond ESG buzzwords to focus on clarity, credibility, and long-term value creation. Insightful conversations at the recent 2025 IA Sustainability and Responsible Investment Conference in London made one thing clear: the future of sustainable finance lies in pragmatism, transparency, and strategic value creation. Several key themes explored align closely with ACA’s philosophy on sustainability […]

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Navigating the New Guidance for OCIO Performance Reporting: Insights from Industry Experts

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For years, asset owners and search consultants have requested more transparent and comparable performance results from Outsourced Chief Investment Officer (OCIO) firms. At the same time, OCIO firms have voiced frustration over the inconsistent requests they receive for performance data. Acknowledging that the industry needs agreement, the CFA Institute adopted the Guidance Statement for OCIO

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Active Phishing Campaign Impersonating the SEC: Firms Should Be on Alert

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As of June 24, 2025, ACA became aware of an active phishing campaign targeting SEC-registered financial services firms and advisers. While the scope of the phishing campaign is not yet known, multiple ACA clients have reported receiving messages purported to be from the SEC all firms should be on high alert for suspicious or unexpected

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Strengthen Your Surveillance Program Through Compliance Best Practices

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When establishing a surveillance program, everything begins with a thorough understanding of the firm itself—that is, the lines of business your firm is in and where it is operating, both in terms of physical location and the systems employed.  Best practices include documenting the surveillance program through written supervisory procedures (WSPs), including how frequently the

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Proposed Changes to DFSA’s Approach to Licensed Functions and Authorised Individuals

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The Dubai Financial Services Authority (DFSA) is ushering in a transformative shift in how it regulates key roles within financial firms operating in the Dubai International Financial Centre (DIFC). With the release of Consultation Paper No. 165 (CP165), which closed for feedback on  5 May 2025, the DFSA proposed a move from a licensing model

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Scaling Compliance Operations with Managed Services and Technology

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Company: A global investment advisory firm managing a diverse portfolio across multiple asset classes. Location: United States Financial Services Sector: Investment Management Background With over $10 billion in assets under management (AUM) and a growing client base, the firm had developed a complex compliance framework. Over time, its internal processes became fragmented, relying on a

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SEC Withdraws 14 Rule Proposals From Its Agenda

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On June 12, 2025, the SEC withdrew most of its pending proposed rules affecting investment advisers, investment companies, and broker-dealers. This included a wide range of rules proposed during former Chair Gensler’s tenure, including: Cybersecurity risk management and disclosure requirements ESG disclosure requirements Conflicts of interest related to predictive data analytics Outsourcing by investment advisers

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ESMA Doubles Down on Data Quality

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The European Securities and Markets Authority (ESMA) released updates to its Data Quality Engagement Frameworks (DQEFs) offering firms rare visibility into how National Competent Authorities (NCAs) and ESMA assess the quality of reported data across key regulatory regimes. These updates are more than just technical guidance, they are essential for firms in scope, including those

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How to Prepare for Regulatory Examinations and Visits

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Firms must proactively prepare for regulatory exams and visits as part of their business-as-usual compliance strategy. SEC examinations tend to be comprehensive, complex, and demanding, requiring compliance officers to demonstrate their deep understanding of business operations, financial transactions, and compliance procedures, across the business. FCA visits and inquiries, while typically less comprehensive, nevertheless may require

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Leveraging Technology to Optimize Hedge Fund Compliance

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Company: A multi-billion-dollar hedge fund specializing in alternative investments, managing a diverse portfolio across multiple asset classes. Location: United States Financial Services Sector: Investment Management / Hedge Fund Background The firm had grown to over $12 billion in AUM with a team of 80+ employees. Over time, its compliance processes became increasingly fragmented, relying on

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