SEC

Insights and guidance from ACA's team of experienced compliance and technology professionals.

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June 14, 2019

Outside of the U.S., the UK is home to the largest number of SEC Registered Investment Advisers globally. This, combined with FCA authorisation, requires the creation and implementation of a joint compliance program.

SEC’s OCIE Issues Risk Alert on Data Storage Security
May 28, 2019

On May 23, the U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert regarding the security associated with cloud and network data storage solutions.

SEC Conducting Cyber Compliance Examination Sweep of Registered Investment Advisers (RIAs)
May 22, 2019

The U.S. Securities and Exchange Commission (SEC) has commenced a series of cybersecurity examinations on registered investment advisers (RIAs) which targets Form ADV data related to cloud service providers.

Compliance alert
April 17, 2019

On April 16, the SEC's OCIE issued a risk alert detailing compliance issues from recent examinations of investment advisers and broker-dealers pertaining to privacy regulations.

SEC Updates Document Request List for Cybersecurity Examinations
April 9, 2019

The SEC's OCIE recently updated their document request list for cybersecurity examinations. Find out what's new in the document request list and how your firm should prepare for a cyber examination. 

SEC OCIE To Launch Cybersecurity Initiative Focused on M&A
March 27, 2019

Missed the 2019 Mutual Fund and Investment Management Conference? ACA's Jim Pappas shares his observations from the keynote session which featured a speaker from the SEC. 

The SEC’s Busy February for Registered Investment Companies
March 18, 2019

The U.S. Securities and Exchange Commission (SEC) and its staff have been busy since the end of the recent partial government shutdown. While there is certainly much work behind the scenes we do not get to see, there is plenty of public work that registered investment companies should note. For instance, the following matters occurred during the last two weeks of February

January 30, 2019

Is your firm prepared for the SEC's new cyber focus areas for 2019? Find out what your firm needs to know, and what you can do to prepare.

January 4, 2019

The U.S. Securities and Exchange Commission (“SEC”) is currently operating in accordance with the agency’s plan for operating during a federal government shutdown.

December 21, 2018

On December 20, 2018, the U.S.