Industry Insights

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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Four ESG Priorities Every Real Estate Firm Must Master

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At a recent roundtable, hosted by ACA and Scaler, guests shared insights on the evolving ESG landscape and identified four priorities that will shape the future. This article builds on those discussions and our earlier May 2025 briefing to explore what these priorities mean for your business: Linking sustainability initiatives to financial returns remains a

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How AI Is Transforming Marketing Review Without Losing Human Judgment

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Marketing compliance teams are managing increasing complexity and growing demands because: The SEC Marketing Rule raised the bar on disclosures and performance data. FINRA and the FCA continue tightening standards. Marketing teams are producing more content than ever, which are personalized, multi-channel, and fast-paced. Every piece of marketing material needs to be reviewed, and every

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The FCA Calls for Proactive Surveillance and Timely STOR Submissions

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The FCA’s latest Suspicious Transaction and Order Reports (STOR) data reveals a sharp uptick in organised crime links and underreporting, especially in fixed income and derivatives. This isn’t just a regulatory update; it’s a wake-up call. Firms are expected to be proactive, not passive, in protecting market integrity. The regulator’s tone is shifting, and firms

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