Industry Insights

How ACA Helped a Credit Firm Scale With Ease

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Company: Private Credit ManagerLocation: U.S.Industry: Private Credit Challenge Manual Processes Threaten Growth and Compliance The firm needed to build credible, compliant performance track records to support investor conversations and capital raising. However, performance calculations were handled manually by a single controller in Excel, raising concerns about scalability, audit readiness, and compliance with the SEC Marketing […]

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NFA Proposes Repeal of Guidance on Virtual Currency Disclosures and Amendments to the Scope of Rule 2-51

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On October 1, 2025, the NFA submitted a proposal to the CFTC to repeal NFA Interpretive Notice 9073, “Disclosure Requirements for NFA Members Engaging in Virtual Currency Activities,” and amend NFA Compliance Rule 2-51 to broaden its scope. The NFA Board of Directors unanimously approved the proposals on August 21, 2025. Why the Change? The

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Precautionary Use of the UN Sustainable Development Goals in Investment Strategies

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Adopted in 2015, the United Nations Sustainable Development Goals (SDGs) provide a global framework to end poverty, protect the planet, and promote peace and prosperity. The 17 goals span economic, social, and environmental dimensions and call on governments, businesses, civil society, and the United Nations (UN) system to take collective action worldwide. Asset managers increasingly

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What Fund Sponsors Should Consider for ETF Share Classes

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The SEC’s recent move toward granting exemptive relief for Exchange-Traded Fund (ETF) share classes of mutual funds has sparked meaningful discussion across the asset management industry. Although the concept itself is not new, formal regulatory recognition would mark a significant shift in how mutual funds are structured, distributed, and serviced. This change could redefine product

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How to Choose the Right Partner for FCA Authorisation Support

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Choosing the right partner for FCA authorisation support is a key step in successfully entering or expanding in the UK financial market. With regulatory expectations evolving and timelines often tight, firms benefit from working with a partner who understands both the authorisation process and the nuances of their business. Securing authorisation is a significant milestone

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The Credit Manager’s Path to Compliance with the Global Investment Performance Standards

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In a competitive investment environment, credit managers are under increasing pressure to deliver more than just returns; they’re expected to provide transparency, consistency, and credibility in their performance reporting. That’s where the Global Investment Performance Standards (GIPS®) come in. Far from being a regulatory burden, GIPS® compliance offers a strategic edge. It signals to institutional

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Major FCA Enforcement Action Highlights Governance and Conflicts Risks for Fund Managers

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The FCA has publicly censured a large alternative asset manager for serious conflicts of interest failures, resulting in a $101 million redress to non-U.S. investors. This case is a stark reminder for alternative asset managers of the risks posed by ineffective conflict management, especially when internal and external funds operate side-by-side. It highlights the importance

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How AI is Reshaping Research and Compliance

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AI is actively transforming how investment and compliance teams operate. Across the industry, firms are moving beyond experimentation and embedding AI into research and compliance workflows to improve efficiency, oversight, and scalability. This shift isn’t just about technology; it’s about rethinking processes, policies, and culture. Here are three key trends shaping the future of research

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The SEC and CFTC Extend Compliance Date for Form PF 2024 Amendments

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On September 17, 2025, the SEC and CFTC jointly approved an extension of the compliance date for the 2024 amendments to Form PF. The new compliance date is October 1, 2026. In earlier extension releases, the regulators explained that they were giving firms more time to address practical difficulties with preparing and filing Form PF.

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Your Surveillance Data Is More Valuable Than You Think

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Surveillance data is no longer solely a compliance tool; it’s a strategic asset that can power smarter trading decisions and strengthen your firm’s ability to manage market abuse risk. As trading environments grow more complex and regulatory expectations rise, firms must extract greater value from the data they already collect. Surveillance data spans the full

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