Key Findings from the ACA and NSCP 2024 Cybersecurity Program Benchmarking Survey
We will share valuable insights from our biannual Cybersecurity Benchmarking Survey in partnership with NSCP.
View our latest articles and insights on best practices and trends in distribution.
We partnered with K&L Gates to look back at the evolution of the ETF industry in the U.S. over the past 30 years. The themes highlighted in this paper will likely guide the continuing evolution of ETFs.
For firms marketing privately-issued securities, whether as a private fund manager or issuer, ensuring their activity is compliant with FINRA or SEC regulations is essential.
Many asset managers come to us when they find out they can no longer rely on the issuer exemption and are faced with the dilemma of their staff promoting their funds. We break down the requirements to help you avoid this issue.
Market makers are broker-dealer firms that provide pricing for ETFs and liquidity in the secondary market.
In this guide, we walk you through everything you need to know to start launching an exchange-traded fund (ETF), including the differences between ETFs and other product offerings, startup costs, necessary service providers, and how to gain assets via distribution.
Discover how the landscape of ETFs is evolving as funds are increasingly shifting away from daily holdings disclosures. Gain expert guidance on navigating this changing landscape and embracing the new wave of semi-transparent ETFs.
We will share valuable insights from our biannual Cybersecurity Benchmarking Survey in partnership with NSCP.
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.