Industry Insights

Preparing for the SEC’s 2026 Exam Priorities: What Advisers Must Get Right Now

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This article was originally published by ThinkAdvisor on January 22, 2026. The SEC’s 2026 Examination Priorities arrive in a de-regulatory environment, but that does not mean firms can relax. Quite the opposite. The priorities signal a renewed emphasis on fundamentals, paired with heightened scrutiny of emerging risks that directly affect retail investors. Drawing on my […]

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Transforming GIPS® Oversight and Client Reporting for a $10B Investment Adviser

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Client Background A U.S. based investment advisor with approximately $10 billion in assets under management was navigating a period of acquisition-driven growth. As the firm scaled, it faced resource constraints and increasingly complex Global Investment Performance Standards (GIPS®) compliance requirements, alongside rising demands for accurate, timely client and prospect reporting. To address these challenges, the

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Exploring Operational Resilience Regulations and Their Global Focus

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Operational resilience has become a top priority for regulators worldwide. From the EU’s DORA and Network and Information Security Directive 2 (NIS2) to the UK’s FCA / Prudential Regulation Authority (PRA) guidelines, UAE’s DFSA and Central Bank of the UAE (CBUAE) frameworks, Australia’s Australian Prudential Regulation Authority (APRA) CPS 230, and India’s Cybersecurity and Cyber

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Fortinet Releases Patch to Fix SSO Exploitation in FortiOS: Urgent Action Required

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Fortinet, a major provider of enterprise cybersecurity solutions, has disclosed and patched a critical authentication bypass vulnerability affecting multiple Fortinet products that use FortiCloud Single Sign-On (SSO). Tracked as CVE-2026-24858, the issue is confirmed to be under active exploitation and could allow unauthorized administrative access to affected devices. The U.S. Cybersecurity and Infrastructure Security Agency

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2026 Regulatory Filings Resource Center: Prepare for SEC, FINRA, and Global Obligations

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Regulatory compliance is complex. Missing a filing deadline or overlooking an ongoing obligation can lead to costly penalties and reputational risk. ACA’s 2026 Filings and General Obligations Resource Center brings together essential resources designed for compliance leaders and teams managing global requirements. What’s Inside 2026 SEC and Global Regulatory Filings Calendar Quarterly breakdown of deadlines

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The SEC Clarifies Marketing Rule: Net Performance Fees and Promoter Disqualification Relief

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On January 15, 2026, the SEC Division of Investment Management released two new Frequently Asked Questions (FAQs) on the Marketing Rule under the Advisers Act. One clarifies how advisers should present net performance in marketing materials when the fees charged to the advertised audience differ from the fees historically charged. The other permits investment advisers to compensate certain promoters

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Enhancing Investor-Level Performance Calculation for a UK Private Credit Firm

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Company: Leading UK-Based Private Credit Investment FirmLocation: United KingdomFinancial Services Sector: Private Credit Background Meeting Rising Regulatory and Investor Expectations A leading UK-based private credit investment firm, authorised and regulated by the FCA, faced growing pressure to enhance investor- and fund-level performance reporting. Increasing regulatory expectations and investor demands for transparency and operational rigor highlighted

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ESMA Tightens MiFID II Conflict Oversight for 2026

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ESMA has announced a major regulatory initiative aimed at strengthening investor protection across the EU. During 2026, the regulator will launch a Common Supervisory Action (CSA) with National Competent Authorities (NCAs) to review how investment firms manage conflicts of interest under MiFID II. Key focus areas include: Governance and controls: Ensuring firms have robust frameworks

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Turning Nature-Related Financial Risk Disclosure into ESG Strategy

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As investors and regulators sharpen their focus on climate risk, nature-related financial risks are emerging as the next frontier in sustainable finance. Yet, for many sectors, the question remains: How do you measure and manage dependencies on ecosystems? We recently partnered with Ranchland Capital Partners (“RCP”) to develop their first Taskforce on Nature-related Financial Disclosures

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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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