GRC hot topics
This application of the “misappropriation theory” of insider trading is a reminder to assess whether MNPI is material to the value of shares of public companies.
ACA Group is pleased to announce the promotions of the following individuals. Each has contributed significantly to the growth of ACA and has provided exemplary service to their clients.
- ACA News
What are the financial services trends set to shape the financial services world over the next two years? Tune in to our on-demand Regulatory Horizon 2022 conference session to learn more. Topics include Equivalence or divergence, the future for MiFID II and AIFMD, what's next for SEC exams and enforcements and the new world of work: managing people, processes and technology in a disruptive time.
In the first part of our Operational Resiliency Series, we dissect what exactly is operational resiliency, what are its domains, the foundational components, the benefits of operational resiliency and how it's different from business continuity planning.
- Cybersecurity Resources
Firms are struggling without up-to-date standards for after-tax performance reporting, or readily available systems to guide their decision making.
Join us for a virtual conference for firms with a U.S. presence. We’ll explore hot topics in compliance, performance, cyber, ESG, and RegTech.
After 60 years of little to no amendments, The U.S. Securities and Exchange Commission’s (SEC) rules on advertising are set to change. With significant updates and changes ahead, learn why firms should begin preparing now to meet the November 2022 compliance deadline,
- SEC Marketing Rule
The report identifies applicable rules and related compliance considerations for broker-dealers, summarizes recent exam findings, and describes best practices.
The SEC staff under Chair Gary Gensler have been busy developing a raft of proposed new rules that could have big implications for real estate advisers, in particular those that are vertically integrated.