Insights
Changes to the SEC Robo-Adviser Exemption
The U.S. Securities and Exchange Commission (SEC) amended Advisers Act Rule 203A-2(e), resulting in a change to the exemption certain internet investment advisers (robo-advisers) rely on.
- SEC
Naming and… Sustaining? The FCA’s Sustainability Disclosure Requirements
The FCA recently extended their Sustainability Disclosure Requirements (SDR) to portfolio managers in addition to confirming final guidance to help firms comply with the new anti-greenwashing rule.
- ESG
Strategies to Transform Your Compliance Program with Technology - #6: Regulatory Priorities
Prioritize automation using the regulators’ priorities.
- RegTech
- ComplianceAlpha
Ten Advantages of Pursuing FCA Authorisation
We outline ten reasons why seeking FCA authorisation can bring benefits beyond compliance, including enhanced credibility, market access, investor confidence, and long-term sustainability.
- FCA
- Compliance
Ten Advantages to Turn to Regulatory Hosting in the UK and EU
If you're navigating this complex terrain and want to access the EU or UK markets, exploring the regulatory hosting route could offer significant commercial and operational advantages.
- Mirabella
Common AML Schemes: ESG
ESG criteria can prevent money laundering, as they generally have strong compliance systems and ethical practices. However, there are still some vulnerabilities that can be exploited.
- AML and Financial Crime
- ESG
SEC Examinations Division to Evaluate Firms’ Readiness for T+1
The SEC Examinations Division issued a risk alert reminding broker-dealers, clearing agencies, and investment advisers of their new obligations in connection with the transition to T+1 settlement of certain securities transactions.
- Compliance
- SEC
An Introduction to Interval and Tender Offer Funds
Non-traditional closed-end interval and tender offer funds constitute an important segment of the investment industry. Their unique structure allows asset managers to deliver alternative and illiquid investment strategies to a broad investor base.
- Distribution
Case Study: Establishing Cybersecurity Portfolio Oversight
This case study discusses how ACA Aponix helped identify areas for cybersecurity growth, visibility, and value enhancement across Gridiron Capital LLC’s portfolio.
- Cybersecurity
- Portfolio Company Risk Management
The FTC Safeguards Rule Amendments Becomes Effective May 13, 2024
Beginning May 13, 2024, amendments to the "Safeguards Rule” will require subject firms to report “notification events” to the FTC as soon as possible.
- Compliance