Insights
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.
- RegTech
- ComplianceAlpha
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.
- Compliance
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.
- ACA News
2024 FINRA Regulatory Oversight Report
The 2024 Annual Regulatory Oversight Report provides insight into findings from FINRA's Member Supervision, Market Regulation, and Enforcement programs.
- Compliance
- FINRA
Case Study: Outsourced Performance Calculation for a Large Asset Manager
This case demonstrates the value of outsourcing investment performance management to a reputable third-party service provider.
- Performance
- Managed Services
Checking Your Own Homework: The Need for Cybersecurity Independence
The consolidation of information technology and information security providers has unintended consequences including an increased risk of cybersecurity incidents and operational disruption.
- Cybersecurity
Private Fund Restricted Activities and Preferential Treatment Rules Breakdown
The Restricted Activities Rule focuses on transparency, disclosures, and consent while the Preferential Treatment Rule bans private fund advisers from providing preferential information to investors.
- Private Fund
- SEC
- Compliance
2024 Cybersecurity Benchmarking Survey
ACA has partnered with NSCP to gather data on cybersecurity trends, policies, and challenges across the financial services industry.
- Cybersecurity
Strategies to Transform Your Compliance Program with Technology - #2: Work Smarter
A blend of technology for automation and managed services for outsourcing can reduce the manual workload and guesswork for you and your team.
- ComplianceAlpha
- RegTech
Private Fund Quarterly Statement Rule Breakdown
The Private Fund Quarterly Statement Rule requires a quarterly statement that includes information regarding fees, expenses, and performance to the private fund’s investors.
- Compliance
- Performance
- Private Fund