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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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Regulatory compliance insights and alerts

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ESG alerts and insights

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

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

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LTAF or Having a Laugh?

The FCA recently announced a proposal to broaden retail access to Long-Term Asset Fund (“LTAF”). But what is an LTAF? Does anyone actually want one? Or is this just a regulatory anagram for FLAT?

Article
  • Compliance
  • FCA
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The Ultimate Guide on the Fundamentals of ETFs

ACA Foreside spoke with panelists at WealthManagement.com's EDGE conference about the fundamentals of an ETF.

Article
  • Compliance
  • Distribution
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Key Takeaways from DEF CON 2022

Members of ACA Aponix’s team attended DEF CON, an annual hacking and cybersecurity convention. Find out what they learned about the latest industry news and trends.

Article
  • Cybersecurity
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SEC’s Rule Proposals Seek to Reform the Private Fund Industry

The rules proposed by the SEC earlier this year revealed how the SEC’s examination and enforcement agenda is likely to unfold in the coming months and years, regardless of the ultimate outcome of those rules. Find out what your firm should be doing in light of these proposals.

Article
  • SEC
  • Compliance
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ESG Regulation: What Next?

With a surge in investor interest in ESG topics, as well as numerous firms attempting to set themselves apart from their peers through their commitments to issues like climate and sustainability, regulators have been busy working to establish consistency and transparency around ESG claims. What are the FCA's expectations from firms, and what are the anticipated challenges ahead?

Article
  • ESG
  • Compliance
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FINRA Reminder to Supervise for Digital Signature Falsification

FINRA recently issued a regulatory notice to remind firms to monitor digital signatures to prevent or detect forgery or falsification activities.

Compliance Alert
  • Compliance
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The Importance of ESG Risk Management During Periods of Market Volatility

Those who have invested heavily in ESG risk management are likely to be better prepared to weather the current market volatility.

Article
  • ESG
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New Marketing Rule Performance Net Return Calculation Methodologies

Learn how private fund managers can calculate extracted and hypothetical performance to the relevant portfolio, and identify and model its net performance in line with the SEC's new Marketing Rule.

Article
  • Compliance
  • SEC
  • SEC Marketing Rule
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Apple Warns of Two Vulnerabilities

In Apple’s latest software release update for iOS 15.6.1, Apple urges users to update their devices as soon as possible to avoid two known security issues.

Cyber Alert
  • Cybersecurity
  • Cybersecurity Resources
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Market Volatility and Downstream Security Implications

Market volatility is predicted to have an impact on the cyber risk landscape. Learn the implications of the current risk and how your firm can prepare for an uncertain future.

Article
  • Cybersecurity
  • Cybersecurity Resources