Industry Insights

Seven AI Notetaker Risks and What CCOs Need to Know

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Financial firms are rapidly adopting AI note-taker tools because they are convenient and efficient. However, these tools capture sensitive discussions and potentially material non-public information (MNPI) before compliance has reviewed it, which introduces significant regulatory and operational risks. To protect your firm, you need to understand the most pressing issues these tools create. Unvetted sensitive […]

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FINRA Releases 2026 Oversight Report Highlighting AI, Cybersecurity, and Compliance Risks

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FINRA’s 2026 Annual Oversight Report underscores both familiar priorities and emerging risks shaping the regulatory landscape. While Regulation Best Interest, senior investor protections, and financial responsibilities remain central themes, the report introduces new considerations around Generative AI (GenAI), cybersecurity, and technology-driven vulnerabilities. Cybersecurity and Cyber-enabled Fraud Cybersecurity remains a dominant supervisory priority, closely linked to

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DFSA Crypto Token Suitability Requirements Are Now Live

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The DFSA has tightened its expectations for how firms should assess the suitability of Crypto Tokens, with updated requirements taking effect on 12 January 2026. This shift to a firm-led suitability model represents a major increase in accountability for regulated firms, raising expectations around evidence, documentation, and defensible assessments. Under the new approach, firms can

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AI’s Role in Private Fund Advising

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As private fund advisers integrate AI into diligence, portfolio management, and investment decision‑making, they take on new regulatory, data governance, and fiduciary responsibilities. AI tools often rely on large volumes of proprietary and sensitive information, increasing the risk of unauthorized access when processed through external or even enterprise‑grade platforms. Human oversight remains critical: AI models

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2025 Trends in GIPS Compliance: Insights from 785 Firms

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As investment managers navigate evolving regulatory requirements and client expectations, maintaining compliance with the Global Investment Performance Standards (GIPS®) remains critical. ACA’s latest research, based on data from 785 verified firms, reveals how leading organizations are adapting their policies and practices in 2025. Key Trends Shaping GIPS Compliance 1. Model vs. Actual Fees The SEC’s

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The SEC Postpones Reg SHO Amendments

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The SEC has  issued an exemptive order extending  the deadline for the 2023 amendments to the Exchange Act Rule 13f-2 and Form SHO to January 2, 2028,  a two-year addition to their  initial  January 2, 2026,  extension  issued  in February 2025.  The first filing under  the new requirements, which was  first due  on February 14, 2025, then

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Five Tips for Preparing Your SEC Form ADV Filing

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Accurate, timely Form ADV filings protect your reputation and keep you aligned with the SEC’s expectations. When firms fall behind or overlook details, the consequences can be costly, resulting in deficiencies, penalties, and reputational damage. With the right approach, you can turn this annual requirement into a smooth process. 1. Start Early and Audit Your

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The SEC Highlights Ongoing Gaps in Advisers’ Marketing Rule Compliance

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The SEC’s Division of Examinations (the Division) released its fourth risk alert focused on compliance with the Advisers Act Marketing Rule. It is the most significant update since the 2020 amendments. The alert does not introduce new interpretations, but it enforces examiners’ continued focus on recurring deficiencies, particularly in the areas of testimonials, endorsements, and

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5 Ways to Keep Gifts and Entertainment Policies Bright This Season

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As the year winds down and holiday cheer ramps up, so does the risk of compliance missteps around gifts and entertainment (G&E). Whether it’s a client lunch, a vendor gift basket, or a sponsored event, firms need to stay vigilant this time of year. Longstanding guidance from the SEC staff outlines their expectations for how

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ACA AI in 2025 – Innovation in Action

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2025 marked a turning point for ACA, redefining how we deliver compliance technology. With the launch of Encore AI, ACA introduced a proprietary AI engine purpose-built for regulatory compliance, delivering outcomes that are explainable, auditable, and aligned with regulatory expectations. Over the past year, Encore AI matured into the intelligence layer across ComplianceAlpha® and ACA’s

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