Insights
Common AML Schemes: Trusts
Money launderers may use trusts to conceal the true ownership of assets or the source of funds.
- AML and Financial Crime
Key Legal and Compliance Issues of an ETF
Commodity ETFs have very different tax implications depending on how the fund is structured.
- Distribution
- Mutual Fund
Case Study: Outsourcing Global Investment Performance Standards Compliance
By partnering with ACA, the firm was able to successfully map out a clear timeline to achieve GIPS compliance, benefiting from our expertise in performance measurement and comprehensive management of the compliance process.
- Performance
- Managed Services
Top Five Investment Performance Trends
ACA recently conducted a survey of 700 GIPS compliant firms to learn more about performance calculations, concerns, and other hot topics within the investment management industry.
- Performance
Managing Risks in a Cybersecurity Portfolio Oversight Program
A programmatic approach to cybersecurity portfolio oversight is recommended for a consistent approach to managing risk across the portfolio.
- Cybersecurity
- Cybersecurity Resources
- Portfolio Company Risk Management
SEC Registration Timeline and Considerations
Investment adviser registration in the U.S. can be a long and arduous process. Download our guide to understand the process.
- Compliance
- SEC
Harnessing New Technology to Enhance Communications Surveillance Programs
It is important for firms to adopt a next-generation approach to capturing, archiving, and surveilling communications
- RegTech
- ComplianceAlpha
- eComms Surveillance
Harris-Walz Campaign Contributions May Trigger Pay-to-Play Rules
With the selection of Minnesota Governor Tim Walz as the 2024 Democratic Party candidate for Vice President of the United States, federal, state, and local rules on political contributions come into sharp focus.
- Compliance
- ComplianceAlpha
- RegTech
- SEC
- FINRA
Tax Risks of an ETF
As a general rule, ETFs are tax efficient, but there are exceptions and therefore investors need to understand how taxes apply to the different types of ETFs.
- Distribution
- Mutual Fund
ACA Group Expands U.S. Compliance Team with Former SEC and FINRA Regulators, In-House CCOs, Seasoned Regulatory Consultants, and Attorneys
We are committed to meeting the needs of our clients. This year, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry. Learn more about our team.
- ACA News
- Compliance