ACA Group

SEC Staff Highlights Fair Value Considerations for Private CreditThe SEC Office of the Chief Accountant and Division of Investment Management issued a staff statement on September 28, 2026, addressing fair value measurement and disclosure considerations f

OverviewGrowth is a welcome challenge, but it can quickly expose weaknesses in operational infrastructure. For the COO of a $2 billion asset management firm, rapid growth revealed that the firm's GIPS compliance program had become too dependent on one emp

Key TakeawaysThe FCA estimates that its UK MiFIR transaction reporting reforms could save firms more than £100 million annually.Reduced reporting scope, fewer reportable fields, and shorter back-reporting requirements may lower operational costs.Savings w

Prediction markets can create material compliance risks for investment advisers when firms or employees trade event contracts using nonpublic, confidential, client-related, or otherwise restricted information obtained through the adviser's work. Advisers

ACA Group receives recognition across risk data analytics, regulatory reporting, AI innovation, operational risk, and advisory services.ACA Group has been named to the Chartis RiskTech100, ranking among the world's leading risk technology providers. The r

On September 15, 2026, the SEC approved FINRA Rule 3290 (Outside Activities Requirements). The new rule will replace FINRA Rules 3270, Outside Business Activities (OBAs) of Registered Persons, and FINRA Rule 3280, Private Securities Transactions (PST) of

On September 13, Anthropic CEO Dario Amodei raised the stakes on AI governance and security, arguing that AI capabilities are advancing faster than the industry's ability to develop safeguards around these tools. While Amodei did not call for a halt in AI

The SEC's Division of Examinations has issued a Risk Alert describing deficiencies its staff has observed in investment advisers' annual compliance reviews under Advisers Act Rule 206(4)-7.The alert underscores that the review should be a substantive, doc

Protect Your Code of Ethics Program During Compliance Technology MigrationsChanging personal trading compliance platforms can create significant operational and data-management challenges.Yet for many firms, migrating years of employee compliance data, br

Key TakeawaysManual filing processes can increase operational burden, create inconsistent workflows, and limit visibilityRegulatory reporting technology can automate data transformation, technical checks, and regulatory validationBusiness validation remai