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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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Finding Stability in an Unpredictable World

We examine the challenges set to face firms over the next twelve months, including ESG, equivalence vs. divergence, the new world of work, transaction reporting, market surveillance, cyberthreat trends, the SEC’s new marketing rule, post-COVID recovery, the future of regulatory hosting, as well as FCA and SEC priorities.

Article
  • FCA
  • SEC
  • ESG
  • SEC Marketing Rule
  • Compliance
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Five Things to Know About TCFD

Learn about the recommendations from the Task Force on Climate-Related Financial Disclosures (TCFD) to incorporate climate-related risks and opportunities into companies' decision-making processes.

Article
  • ESG
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ACA Group Selected as an AIFinTech100 Company for 2022

ACA Group has been named one of the 100 most innovative AIFinTech companies in the financial industry by FinTech Global.

News
  • ACA News
  • RegTech
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New Marketing Rule Challenges for Real Estate Advisers

Advisers that focus on real estate strategies are working through some unique issues as they prepare to implement the provisions of the rule.

Article
  • Compliance
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Future-Proofing Compliance Best Practices with Technology

Shifting demands in regulators on financial services firms have elevated the importance of compliance to best practices. Learn what compliance officers are focused on in their surveillance processes.

Article
  • RegTech
  • ComplianceAlpha
  • Compliance
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Operational Resilience in Focus, Part Two: Operational Resilience and Cyber

In part two of our Operational Resilience in Focus series, we will discuss the details of the cyber and information security resilience domain.

Article
  • Cybersecurity
  • Cybersecurity Resources
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SEC Enforcement Action for Violating Reg BI Standards

The U.S. SEC filed an enforcement action against a broker-dealer and five of its registered representatives for violating certain provisions of Regulation Best Interest

Compliance Alert
  • SEC
  • Compliance
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2022 Investment Management Compliance Testing Survey Results Released

For the second year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one worry for investment adviser compliance officers, according to the 2022 Investment Management Compliance Testing Survey.

Press Release
  • Compliance
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Q3 2022 Regulatory Reporting Deadlines

SEC, FCA, ESMA, FINRA, and CFTC/NFA regulatory filing submission deadlines occurring from July through September 2022.

Article
  • Compliance
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The SEC Approves Amendments to FINRA Rule 2231

The SEC approved a rule change to amend FINRA Rule 2231 with respect to Customer Account Statements. FINRA will announce the proposed change’s effective date shortly.

Compliance Alert
  • Compliance