Join ACA for a discussion about how investment advisers effectively promote their advisory services and private funds in a competitive market while complying with SEC rules and expectations.
Join ACA as we discuss issues and trends raised in a survey that would provide financial services firms with an opportunity to gain insight into cybersecurity compliance programs across the industry.
Join ACA for a discussion designed to provide insight into business development companies (BDCs) registered under the Investment Company Act of 1940.
Join ACA for a demonstration of ComplianceAlpha's MRS module.
Join ACA for a discussion of current initiatives at CFA Institute, including forthcoming guidance, adoption rates, and the future of the Global Investment Performance Standards (GIPS®).
Join ACA for a third webcast workshop designed to assist compliance professionals of broker-dealers in dealing with the potential regulatory challenges of meeting the new Department of Labor Fiduciary Rule.
Join ACA as our team provides insight into managing social media usage by investment advisers and their employees.
Join ACA for a discussion on ways your firm can identify, assess, and manage the cyber and information security risks of working with third-party vendors.
Join ACA for a discussion focusing on the eleventh edition of FINRA's “Regulatory and Examinations Priorities Letter.”
Join ACA for a discussion on the new Form N-CEN and Form N-PORT, as well as the revisions to Regulation S-X affecting disclosures in mutual funds’ financial statements.