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Insights and alerts related to the SEC's new Marketing Rule

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SEC Private Fund Adviser Rule

Regulatory change is here for Private Fund Advisers

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SFC Consultation on Fund Manager Code of Conduct (FMCC): 10 key points

The Securities and Futures Commission (SFC) of Hong Kong published the conclusion to proposed changes in its Fund Manager Code of Conduct last November, helping to clarify a few remaining areas of contention following its original consultation paper. We have produced a quick summary of the ten key points you need to know from the consultation conclusions on Asset Management regulation.

Article
  • Compliance
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ACA’s Spring Conference — Session Spotlight: Cryptocurrency and Compliance

Today’s conference spotlight highlights a session that will cover one of the financial industry’s most buzzed-about topics: Cryptocurrency and Compliance.

Article
  • Events
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GDPR DDQ Now Available for Assessing Vendors' GDPR Compliance

ACA announces GDPR-specific due diligence questionnaire (DDQ) for vendors and third parties.

Press Release
  • Privacy
  • Compliance
  • Cybersecurity
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ACA Technology Announces Release of ACA Regulatory Reporting 5.0

Key features include a redesigned user interface and the integration of Form 13F with Form PF.

Press Release
  • RegTech
  • ACA News
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ACA’s Spring Conference — Session Spotlight: Performance in the News and Marketing Best Practices

Today’s conference spotlight highlights two sessions led by our performance professionals from ACA Performance Services.

Article
  • Events
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ACA’s Spring Conference — Session Spotlight: Compliance Technology Trends

Today’s conference spotlight highlights the session Using Compliance Technology and Consolidating Data Sets to Create New and Essential Insights.

Article
  • Events
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Firm Notification Requirement – 2018 Form Now Available

Firms that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance. Each firm must submit the GIPS Compliance Form annually by June 30.

Article
  • Performance
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So You Survived Year-End Compliance Testing — But are You Ready for What’s Next?

Compliance professionals have had a busy year so far, but the tasks and testing will continue to increase.

Article
  • Compliance
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SEC Requesting that Firms Submit Data via Formatted Template as Part of Investment Adviser Exams — What Your Firm Needs to Know

Since the U.S.

Compliance Alert
  • RegTech
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Due Diligence of Research Firms and Data Providers - What Investment Advisers Need to Know

Over the past several years, the SEC, through examinations and enforcement actions, has made it clear that it expects registered investment advisers to undertake meaningful due diligence of the

Compliance Alert
  • Compliance