As part of ACA, our in-house regulatory and performance experience is leveraged to help your firm understand the broader picture of compliance. We draw from our experience and regulatory insight to help your firm understand industry best practices and the range of compliance issues that your peers face today.

FINRA Leverages the GIPS Standards for Standardizing Private Placement Performance Marketing

FINRA's release of Regulatory Notice 20-21 allows the use of IRR for investments or funds that have been fully realized but further requires utilizing the calculation methodologies of the GIPS standards.

Latest insights

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The Value of GIPS Compliance: 2020 OCIO Survey Results

ACA and Curcio Webb conducted an industry survey in August 2020 focusing on the value of GIPS compliance among OCIOs. The results show a growing interest in compliance with the 2020 GIPS standards.

Survey
  • Performance

The CCO's Guide to the GIPS Standards: Essentials for Understanding and Mitigating Risk

As adoption of the GIPS standards has grown over the years, ACA has seen compliance personnel take a much deeper interest in ensuring their firms meet every requirement.

Report
  • Performance

The 2020 GIPS Standards: Explanation of the Provisions for Firms – Section 2

Section 2 of the Explanation of the Provisions focuses on clarifying the input data and calculation methodology requirements to be compliant with the 2020 GIPS standards.

Article
  • Performance

SEC Fines U.S. Private Fund Manager $1 Million for Misrepresentation of Investment Performance and Marketing Violations

A recently settled enforcement action re-emphasizes the importance of issues highlighted in the SEC's 2017 Risk Alert related to Rule 206(4)-1 under the Advertising Rule.

Compliance Alert
  • Performance

Best Practices in Composite Management

Composites are the cornerstone of a firm’s claim of compliance with the GIPS standards. With the right steps, the right tools, and the right level of commitment, composite management can become part of everyday operating procedures.

Report
  • Performance

GIPS Committees and Working Groups

Firms of all sizes frequently ask about the relevance and importance of forming a GIPS Committee within their organization.

Report
  • Performance

Performance webcasts

The New Marketing Rule: A Focus on Performance

Join ACA and K&L Gates for a detailed explanation of the specific performance requirements, how they differ from prior no-action letters, and what steps a firm should take now in order to be ready by the deadline.

Webcast

FAQs: Amendments to the Marketing & Advertising Rule

Join ACA for a complimentary webcast in which we'll provide answers to the most frequently asked questions we've received in response to the new marketing rule and its implications.

Webcast