Join ACA for our annual Compliance Year in Review webcast as we share SEC compliance developments from 2020 and discuss what to expect in 2021.
We are closely monitoring the coronavirus (COVID-19) pandemic and how it is affecting our clients and the financial services industry. We will continue to provide regulatory updates, resources, and best practices to help your firm navigate this challenging time.
Latest resources and insights
May 11, 2021
Regulatory change, COVID-19 fallout, and a rapidly mutating ecosystem of risks make this a challenging year for financial services firms. In our complimentary whitepaper, we examine the future of risk and compliance and how firms must respond to rapidly evolving circumstances.
- Trade & Transaction
- Managed Services
- Regulatory Deadlines
- Regulatory Technology
- GIPS Standards
February 11, 2021
As the U.S. tax filing season kicks off, it’s important to be on the lookout for tax scams, especially those related to COVID-19 or any stimulus payments. Here are our tips for staying diligent and resources to share with your employees and friends.
February 04, 2021
Business disruption, cybersecurity challenges and greater compliance burdens are well acknowledged operational challenges facing hedge fund, private equity and investment management industries. We examine how COVID-19 has heralded sweeping changes to the way financial services firms operate.
October 22, 2020
We examine recent regulatory events around trade surveillance and market abuse and provide best practices that can be applied to your firm’s surveillance program.
- Regulatory Technology
August 14, 2020
The U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) has issued a risk alert on the COVID-19-related risks, issues, and challenges faced by SEC-registered investment advisers and broker-dealers, including those resulting from the widespread use of telecommuting practices and pandemic-related market volatility.
2020 Investment Management Compliance Testing Survey Results: BCP Related to COVID-19 Now Top Compliance Concern
July 16, 2020
From April 20 – May 31, ACA Compliance Group, Investment Adviser Association, and BrightSphere Investment Group ran the 15th annual Investment Management Compliance Testing Survey.
Join ACA as we discuss the current regulatory climate and what firms need to know to protect their business.
Join ACA for a discussion on what it means to operate the compliance function in the age of COVID-19 and beyond.