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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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ESG alerts and insights

GIPS® standards and performance alerts and insights

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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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Cloudhopper Cloud Provider Breach Reported: Action Needed by January 10

Learn more about the Cloudhopper cloud managed service provider breach and determine what actions your firm may need to take by January 10.

Cyber Alert
  • Cybersecurity

2019 Alternative Fund Manager Compliance Survey Results

Firms of all levels of experience responded to ACA’s twelfth annual survey in a series that focuses on the novel and complex issues facing hedge fund and illiquid fund (e.g., private equity, real estate, venture, and infrastructure) managers.

Survey
  • Compliance
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The Year in Cybersecurity and Risk

Recap of our 2019 product updates, insights, webcasts, and other resources for ACA Aponix cybersecurity and privacy services.

Article
  • Cybersecurity

ACA's Top 10 Webcasts of 2019

As we approach the end of the year, we thought we’d look back at some of our most popular webcasts from 2019 featuring discussions on timely topics and issues ranging from regulatory compliance, performance, technology, financial crime, and cybersecurity.

Article
  • Events

December 2019 Broker-Dealer Newsletter

ACA Broker-Dealer Services invites you to download the latest edition of our newsletter.

Newsletter
  • Compliance

The Year in Regulatory Technology for Financial Services Firms

Recap of our 2019 product updates, insights, alerts, webcasts, and other resources for CCOs, COOs, legal personnel, and compliance and risk teams to review and utilize to close 2019 strong and lay the foundation for a successful 2020.

Article
  • Regulatory Technology

2020 Regulatory Reporting Deadlines Calendar

Download our printable calendar of key regulatory reporting deadlines for the SEC, CFTC, NFA, and ESMA regulatory filings in addition to national holidays at a glance.

Article
  • Compliance
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California Attorney General Signals Approach to Upcoming CCPA Enforcement

In a December 10 interview, California Attorney General (AG) Xavier Becerra provided insight into planned enforcement for the upcoming implementation of the California Consumer Privacy Act (CCPA). Per the interview, the effort firms take to comply will affect the severity the AG takes in enforcement.

Compliance Alert
  • Cybersecurity
  • Privacy

Year-End Recap and CCO Compliance Checklist

A number of regulatory updates and industry developments happened in 2019 that may impact how year-end compliance tasks are prioritized and 2020 initiatives are set. We’ve compiled a checklist to help guide you through key areas as you work to meet your 2019 obligations and head into 2020.

Article
  • Compliance

CIMA’s Continued Focus on AML

The Cayman Islands Monetary Authority (“CIMA”) has made significant changes to its Anti-Money Laundering (“AML”) regulations in recent years, including updating the definition of Financial Service Provider (“FSP”) making private investment vehicles, such as hedge funds, private equity funds, and real estate funds domiciled in Cayman Islands, subject to Cayman Island’s AML regime.

Compliance Alert
  • AML and Financial Crime