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Insights

Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

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ESG

ESG alerts and insights

GIPS® standards and performance alerts and insights

Regulatory technology insights and alerts

Our thoughts on the RiskMutation™ phenomenon affecting the future of risk and compliance

Insights and alerts related to the SEC's new Marketing Rule

Insights and recommendations for maintaining compliance and operational resilience during the pandemic

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Recent Institutional RFP Mandates Requiring GIPS Compliance of Alternative Investment Managers and OCIOs

Each quarter, we provide our feedback on recent institutional mandates related to compliance with the Global Investment Performance Standards (GIPS®); how those mandates ask about the calculation and presentation of performance; and insight into the demand for compliance with the GIPS standards and how that demand is evolving over time.

Article
  • Performance
2021 Spring Virtual Conference

ACA’s Spring 2021 Virtual Conference: Key Takeaways and Trends

ACA’s Spring 2021 Virtual Conference was an opportunity for the regulatory compliance, performance, and cybersecurity community to come together and discuss the many changes of the past year and what the future of GRC looks like moving forward.

Article
  • Compliance
  • ComplianceAlpha
  • ESG
  • GIPS Standards
  • Regulatory Technology
  • Cybersecurity
  • Performance
  • Privacy
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SEC Sanctions Registered Investment Advisers and Broker-Dealers for Cybersecurity Failures

The SEC announced that it sanctioned eight firms for failure to establish and implement cybersecurity policies and procedures. These failures resulted in multiple instances of criminal email account takeovers causing personally identifiable information from thousands of customers and clients to be exposed.

Cyber Alert
  • Cybersecurity
  • Compliance
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Key Takeaways from 1LoD’s Resilience, Cyber, and 3rd Party Risk Deep Dive Report

Industry analyst 1LoD recently hosted a two-day Deep Dive on operational resilience, cybersecurity, and third-party risk. Attendees represented financial institutions (75%), technology firms (13%), consultancies (11%), and regulators (1%) from around the world. Speakers featured experts in resilience and cybersecurity, including ACA Aponix® Partner Michael Pappacena. We recommend downloading the full report to get a sense for what your peers are doing, how your firm compares, what regulators expect, and what you need to do to build a stronger operational resilience program.

Report
  • Cybersecurity
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What Investment Advisers Need to Know about the SEC's Recent Insider Trading Case Focused on "Shadow Trading"

The SEC recently charged a former employee of a biopharmaceutical company with "shadow trading", a form of insider trading. Learn more about this case, compliance implications, and our advice on what advisers can do to protect themselves.

Compliance Alert
  • ComplianceAlpha
  • Compliance
  • Trade Surveillance
  • Regulatory Technology
Roads and roundabouts

August 2021 Broker-Dealer Newsletter

In our latest newsletter, we highlight important regulatory information for broker-dealers that occurred during Q1 and Q2.

Article
  • Compliance

ACA Group Continues to Enhance Compliance Team with New Hires: Former CCOs, Examiners, and General Counsels

ACA has recently welcomed several new members to our investment adviser practice, all of whom bring years of experience and skills to the team. These additions help us accommodate the developing regulatory landscape and meet our client’s specific needs.

Press Release
  • Compliance

Compliance Annual Testing Mandate: Tactics and Considerations

As we look toward a new year, it is important to start developing a testing plan that fits the specific needs of your firm. Given the unpredictability of 2020 and 2021, deciding your compliance testing schedule for 2022 requires exceptional preparedness.

Article
  • Compliance
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SEC Issues $1M Fine for Failure to Disclose Breach Information

The SEC recently fined a company for providing misleading information about a breach it suffered. This fine serves a warning for companies to not only protect themselves against cyber incidents, but to fully disclose information about cyberattacks if they occur.

Cyber Alert
  • Cybersecurity

Preparing for 2022: Compliance Budget Considerations, Priorities, and Helpful Tips

As we enter the second half of 2021, it’s time to start preparing for 2022 and establishing a compliance budget for the upcoming year. To help firms planning for their 2022 fiscal year budget, or those adjusting spend to tackle new initiatives, get started, we have gathered from compliance professionals tips that will explain the foundational needs of a compliance budget, how that looks in action, and how to prepare for the unexpected.

Article
  • Compliance