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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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Brexit insights and alerts

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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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Q&A: Understanding the new Remuneration Rules under the UK’s Investment Firms Prudential Regime

The UK’s Investment Firms Prudential Regime (“IFPR”) comes into force in less than 50 working days. Its more prescriptive approach to remuneration introduces new complications and challenges for firms. This essential Q&A helps you better understand your remuneration rule requirements.

Compliance Alert
  • Compliance
  • Managed Services
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Personal Information Protection Law (PIPL) FAQs

The People’s Republic of China (PRC) has passed robust data privacy regulation that governs data security and personal information processing. This FAQ addresses questions firms may have about the nature of this legislation and its requirements.

Article
  • Cybersecurity
  • Privacy
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FCA Warn of 'Tough, Assertive Approach’ to Brexit TPR Landing Slot Authorisations

The FCA recently warned of "a tough, assertive approach" to financial services firms wishing to continue to operate in the UK post the Brexit Temporary Permissions Regime. Learn more about why this leaves firms at risk of being prevented from initiating further regulated activity in the UK.

Compliance Alert
  • Brexit
  • Compliance
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SEC Chairman Gensler Signals an Increase in Scrutiny & Regulation of Private Markets Fund Industry

SEC Chariman Gary Gensler recently signaled increased scrutiny of private markets fund managers. He honed in on the significant increase in the private equity and venture capital fund industry over the last 5 years.

Article
  • Compliance
  • SEC

Michael Borts joins ACA Group as the new Chief Technology Officer

Michael Borts has joined the firm as Chief Technology Officer (CTO) to lead ACA’s technology development, vision, and strategy. In his role, he will oversee all product development for ACA’s award-winning ComplianceAlpha® regulatory technology platform and technology enablement at the firm.

Press Release
  • Regulatory Technology
  • ACA News
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Q4 2021 Regulatory Reporting Deadlines

Regulatory filing submission deadlines for the SEC, CFTC/NFA, and FCA/ESMA occurring from October through December 2021.

Article
  • Compliance
  • Regulatory Deadlines
  • Regulatory Technology
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UNPRI’s Next Reporting Period Delayed Until Early 2023

The United Nations-supported Principles for Responsible Investment (PRI) recently announced a delay in the next PRI reporting period, along with the release of 2021 scores and public transparency reports. We outline what this means for firms.

Compliance Alert
  • ESG
  • Compliance
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European Regulator Fines Major Trade Repository for EMIR Breaches

The EU’s securities markets regulator, European Securities and Markets Authority (ESMA), recently fined a major trade repository for eight breaches of the European Market Infrastructure Regulation (EMIR). We examine why it’s vital that firms review the quality of their reporting, including where it is being delegated, to be sure it meets regulatory expectations.

Compliance Alert
  • Compliance
  • Trade & Transaction
  • Regulatory Technology
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Being Smart About Your Smartphone

The more information you allow your smartphone apps to share, the easier it will be for hackers to steal this information and use it for malicious purposes. This post discusses best practices for securing your mobile device and the apps you install.

Article
  • Cybersecurity
  • Cybersecurity Resources
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October is Cybersecurity Awareness Month

During the month of October, businesses across the globe will focus on educating their employees on how to stay diligent and safe online. As we prepare for Cybersecurity Awareness Month, we’d like to share some resources you can use to help promote privacy and online safety at your firm.

Article
  • Cybersecurity
  • Cybersecurity Resources