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Regulatory change is here for Private Fund Advisers

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California State Appeals Court Rules Immediate Enforcement of CPRA Regulations

Businesses falling under the CCPA and CPRA are now required to comply with these regulations immediately.

Cyber Alert
  • Cybersecurity
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The PRI Announces Their 2024 Reporting Framework

The Principles for Responsible Investment (PRI) formally released initial details about the upcoming 2024 reporting cycle for PRI signatories.

Compliance Alert
  • ESG
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8 Steps CCOs Should Take Now to Prepare for AI Regulation

Without question, one of the hottest topics for firms over the past year has been the emergence and rapid adoption of Artificial Intelligence (AI)-based tools and technologies in the workplace. However, AI use is not without risk Read our recent blog outlining details of the regulatory response to AI use in financial services firms and get our 8 steps to better manage AI Risk.

Article
  • Compliance
  • Cybersecurity
  • Artificial Intelligence (AI)
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AML Obligations May Be Coming for Investment Advisers

FinCEN recently proposed AML and CFT programs for investment advisers that would somewhat harmonize the requirements for banks and broker-dealers with those for investment advisers.

Compliance Alert
  • AML and Financial Crime
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Form PF 2.0: Significant Amendments Implemented by the SEC and CFTC

The SEC and CFTC recently adopted amendments to Form PF that help monitor systemic risk and bolster oversight of private fund advisers.

Compliance Alert
  • Compliance
  • SEC
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SMS Message Rates May Apply: SEC Fines 16 Firms $81 Million for Recordkeeping Failures

The SEC announced that it settled charges with 16 investment advisers and broker-dealers alleging that the firms failed to maintain required electronic records. Learn more and get our tips for how to proactively strengthen your compliance program in our recent alert.

Compliance Alert
  • SEC
  • eComms Surveillance
  • Compliance
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Performance Precision: SEC's New FAQ Sharpens Focus on Gross and Net IRR Obligations

On February 6, 2024, the Securities and Exchange Commission’s (SEC) Division of Investment Management released a new Frequently Asked Question (FAQ) clarifying requirements around gross and net performance obligations for Internal Rates of Returns (IRR) often seen in the private markets space. Read our alert to understand the key details.

Compliance Alert
  • SEC Marketing Rule
  • Performance
  • Compliance
  • Private Fund
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Strategies to Transform Your Compliance Program with Technology - #3: Data

RegTech is about more than just fancy software – it’s also about data structure and integrity.

Article
  • RegTech
  • ComplianceAlpha
December

Adviser-led Secondaries, Annual Fund Audits, and Annual Compliance Review Documentation Breakdown

The Adviser-led Secondaries Rule requires advisers to obtain an independent fair or valuation opinion while the Annual Fund Audits Rule requires advisers to obtain audits of their private funds annually and upon liquidation.

Article
  • Compliance
Celebrating Black History Month

Celebrating Black History Month at ACA: African Americans and the Arts

ACA proudly joins in the celebration of Black History Month. This year, our spotlight shines on the theme "African Americans and the Arts," a rich tapestry of culture, expression, and resilience.

News
  • ACA News