Wealth Management EDGE
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
Conference
Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
Transaction Reporting: A Common Good, Commonly Wrong
Startling findings have detected that most firms are struggling with their transaction reporting obligations under MiFIR / EMIR. Results reveal more than 6M transaction reporting errors identified across a sample of 30 review projects, averaging 200,000 errors per review. This means that regulators are not receiving the data they need to successfully identify market abuse and systemic risk.
Article
- Compliance
- FCA
- Trade & Transaction
NFA Revises Key Financial Balances for Pool Financial Statements Filing for CPOs
The NFA has recently made changes to the annual pool financial statements filings required for all registered CPOs that operated a commodity pool in 2021.
Compliance Alert
- Compliance
UK Authorities Reboot Financial Promotions Rules, Including Cryptoassets
Both the UK's HM Treasury and Financial Conduct Authority have taken aim at the perceived weaknesses of financial promotions, including cryptoassets. With this increasing focus on marketing and advertising rules, we outline measures that firms should take note of, and provide next steps for reviewing arrangements and strategies.
Compliance Alert
- FCA
- Compliance
SEC Signals Desire for Reevaluation of Private Markets Regulation
Public remarks show that growth of the private markets industry is spurring interest by SEC senior staff. What does this mean?
Article
- Compliance
- Private Fund
Insider Trading: Recent SEC Charges Present Cautionary Lessons
Many private markets fund managers don’t think they need insider trading prevention controls but, investment in privately-held companies can have risk exposure.
Article
- Compliance
Preparing to Comply with the SEC’s New Marketing Rule
The SEC's New Marketing Rule compliance deadline is November 4, 2022 - closer than you think. In this article, we outline our implementation action plan.
Article
- Compliance
- Performance
Events
2024 FINRA Annual Conference
Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.
Conference
Navigating AI Implementation: Compliance Considerations for Private Markets
Join ACA and BlueFlame AI for an in-depth discussion of the intricate world of AI implementation within private funds, highlighting key compliance considerations, regulatory frameworks, and best practices.
Webcast