Industry Insights

SonicWall Cloud Backup Breached: Firewall Configurations Compromised

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SonicWall has disclosed a data breach impacting its MySonicWall cloud backup service, exposing firewall configuration backups for all customers using the feature. Initially reported to affect just 5% of the user base, SonicWall has since confirmed that 100% of cloud backup users were affected. The company confirmed the incident following an investigation with Mandiant and […]

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ACA AdviSEColumn: Practical Advice for Firms – October Issue

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At ACA, we understand that preparation is key, especially when facing the complexities of SEC examinations. Our AdviSEColumn provides insights from former SEC examiners and co-heads of ACA’s SEC Mock Exams team, Robert Baker and Michele Foldenauer, to provide you with a perspective into the regulator’s exam process. Dear ACA, what advice would you give

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Real Estate ESG Data that Drives Value

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Not long ago, ESG was central to every firm’s corporate strategy. Now, prioritizing or publicizing ESG brings a new set of political and reputational risks. For real estate managers and investors, these shifts are just noise. The pressures to generate financial returns and manage real assets for value creation have not changed: Tenants demand leased

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Global Commission Rates in the Wake of Tariff Turbulence

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Our Transaction Cost Analysis (TCA) platform provides insights that empower firms to benchmark execution quality and manage trading costs across jurisdictions. The analytics evaluate both explicit (commissions) and implicit (slippage and market impact) costs globally, supporting compliance with key regulatory standards such as MiFID II (EU), SEC Rule 606 (U.S.), and the Packaged Retail and

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Understanding and Testing Expense Allocations for Private Funds

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In the early days of SEC oversight of private funds, “presence exams” revealed gaps with how advisers disclosed and allocated expenses, especially in private equity, where advisers often manage both fund assets and portfolio companies. In a seminal 2014 speech that explained how the structure of private funds could drive problems with expense allocations, the

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The Rising Cyber Risk for Wealth Managers

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In today’s increasingly connected digital landscape, cybersecurity has become a pressing concern for organizations of all sizes. Threats such as phishing, malware, and ransomware pose serious risks, with even a single breach having the potential to create operational disruptions, trigger financial losses, and cause lasting reputational damage. As new regulations and expectations emerge across regions

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Scaling Composite Performance Reporting with Confidence

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Company: Regional Investment AdviserLocation: U.S.Financial Services Sector: Investment Adviser Background Preserving Performance Data Integrity A regional mid-size investment advisory firm with billions in assets under management (AUM) faced performance data issues during its transition to a new custodial platform. The new system lacked native composite performance reporting capabilities, threatening the continuity and credibility of their

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How AI Transformed Expert Network Compliance for a Global Asset Manager

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Company: Diversified alternatives firm with strategies across private equity and private creditLocations: Global presence operating across multiple regionsIndustry: Asset Management Background Operational Complexity and Compliance Challenges A leading alternative asset manager with a global footprint and a diversified portfolio sought to accelerate growth and broaden its offerings to meet evolving investor demand. To support this

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Market Watch 84 Reveals Why Firms Are Still Falling Short on EMIR REFIT

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In Market Watch 84, published one year after the regime went live, the FCA reveals that many firms are falling short of expectations despite a lengthy lead time and formal transition period. The regulator highlights persistent issues in data quality, governance, and operational readiness underscoring the regulator’s concern that foundational compliance gaps remain unresolved. Persistent

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SEC Issues No-Action Letter for Use of State Trust Company to Custody Crypto Assets

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On September 30, 2025, the SEC’s Division of Investment Management issued a no-action letter (NAL) that could significantly impact how registered investment advisers (RIAs) and registered funds custody crypto assets. The NAL clarifies that certain state-chartered financial institutions (State Trust Companies) may be treated as “banks” under the custody provisions of both the Investment Advisers

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