Insights
Due Diligence of Research Firms and Data Providers - What Investment Advisers Need to Know
Over the past several years, the SEC, through examinations and enforcement actions, has made it clear that it expects registered investment advisers to undertake meaningful due diligence of the
- Compliance
Takeaways from the SEC’s 2019 Fiscal Year Budget Request
On February 12, 2018, the U.S.
- Compliance
Non-EU Firms and GDPR: Time to Face Up to Compliance
The deadline for meeting the General Data Protection Regulation (GDPR) is on
- Cybersecurity
Why Claim GIPS Compliance?
The decision to pursue GIPS compliance and verification is not always a simple choice. There are many moving parts within a firm’s compliance framework, and thus there are a number of important considerations that must be made before a firm can attain compliance with the GIPS standards.
- Performance
90 Days to Comply with GDPR: An 8-Step Game Plan
On May 25, the European Union’s General Data Protection Regulation (GDPR) goes into effect.
- Cybersecurity
FCA’s Dear CEO letter targets improved prudential processes
For the first time in some years, the Financial Conduct Authority (FCA) has written to asset managers’ CEOs on prudential matters. The letter includes a plea by the FCA for data that it, and the EBA, can rely upon when aggregating firms’ submissions to understand the macro picture.
- Compliance
ACA Appoints Director of Privacy to Oversee GDPR Compliance Offering
ACA announces that Alex D. Scheinman has joined the firm as a Director overseeing ACA Aponix®'s GDPR data processing reviews and data privacy.
- Privacy
- Cybersecurity
- ACA News
ACA Compliance Group Announces Completion of Transaction to Partner With Starr Investment Holdings
Starr Investment Holdings acquires controlling interest in ACA.
- ACA News
How ACA’s Form PF Solutions Can Help Lighten the Load
The U.S. Securities and Exchange Commission’s ("SEC") Form PF presents many challenges for investment advisers, particularly those that have large data sets and multiple administrators.
- Compliance
Lack of Standardization Can Lead to Increased Risk for Asset Managers
Last month I had the opportunity to moderate a panel at the PEI CFOs & COOs Forum in New York on “Performance Calculations: Does the PE Industry Need More Standardization?” The panelists were seasoned CFOs from respected private equity fund managers and exchanged engaging dialogue with over 100 attendees in the breakout discussion.
- Performance