city blocks birds eye view night


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

GRC hot topics

Regulatory compliance insights and alerts

Cybersecurity alerts and insights


ESG alerts and insights

GIPS® standards and performance alerts and insights

RegTech insights and alerts

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

Guidance and insights on regulatory proposals, enforcements, and risk alerts

1 of
ACA Global

May 2022 Broker-Dealer Newsletter

ACA's Broker-Dealer team invites you to download the latest edition of our newsletter

  • Compliance

The FCA’s 2022/23 Business Plan and Three-Year Strategy: Key Takeaways

Key takeaways from the FCA's recent three-year Strategy, setting out aims to improve outcomes for UK consumers and markets, as well as the FCA’s 2022/23 Business Plan, with actions to be taken by the FCA over the next twelve months.

Compliance Alert
  • Compliance
  • FCA
Cement Room

Compliance Challenges for Open-End Real Estate Vehicles

Understanding the key elements of operating an open-end real estate vehicle is pivotal to evaluating risks and implementing sufficient compliance oversight.

  • Compliance
abstract image with a lock and shield

Global Cybersecurity Authorities Warn of Cyber Threats Against Managed Service Providers

The joint Cybersecurity Advisory (CSA) advises that MSPs, are prime targets for cyber-attacks, a trend likely to continue for the foreseeable future, as threat actors aim to exploit the innate trust in MSP-customer relationships.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
ESG trees 1200x900.jpeg

SEC’s Climate & ESG Task Force Issues First Enforcement Action

SEC Claims Mining Company Mislead Investors

  • ESG
  • SEC
View of buildings looking up

The 2022 Investment Management Compliance Testing Survey is Now Open

The survey, now in its 17th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.

  • Compliance
Sea against rocks

A Drop of Clarity in the Regulatory Sea of Change

As we tentatively emerge into the post-pandemic world, the global financial industry has a myriad of regulatory hurdles to navigate. We provide guidance on key areas that firms will need to focus on in the coming months.

  • Compliance
  • ESG
  • SEC Marketing Rule
Asian and Pacific Islander American Heritage Month

Celebrating Asian and Pacific Islander American Heritage Month

May is Asian and Pacific Islander American Heritage Month, and we are happy to celebrate with the launch of our Asian Pacific Islander Employee Resource Group!

  • ACA News
abstract image with a lock and shield

SEC Increases The Size Of Their Crypto Assets and Cyber Unit

With new challenges and risks crypto poses to investors, the U.S. Securities and Exchange Commission endeavors to dedicate more resources to protect market participants from securities law violations related to crypto.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
  • Compliance
highway at night from overhead

Regulatory Technology Trends to Watch for in 2022

We’ve compiled the top technology-related trends, insights, and resources compliance leaders need to know to maintain an efficient and effective compliance program.

  • RegTech
  • Compliance