Insights
White Paper - Completing the Puzzle: A Global GIPS Compliant Firm Definition
The case for private markets to adopt the Global Investment Performance Standards (GIPS®).
- Performance
- GIPS Standards
ACA Group Launches New Solutions to Meet Full Scope of SEC’s Private Fund Adviser Rules
ACA released two new solutions aimed at helping private fund managers worldwide comply with the recently adopted SEC Private Fund Adviser Rules.
- ACA News
- Private Fund
- SEC
- Compliance
Strengthen Your AML Program
Firms need to be proactive in their approach to AML and sanctions compliance. Following this checklist can create a good foundation for an effective program.
- AML and Financial Crime
- RegTech
2024 SEC Examination Priorities: Remember the Essentials While Adapting to Change
The theme of this year's exam priorities is while compliance teams race to adapt to new and evolving regulatory requirements, they should not lose sight of compliance fundamentals.
- SEC
- Compliance
- Performance
- Cybersecurity
- ESG
The CFTC Proposes Changes to Regulation 4.7 (Registration Lite)
If passed, this rule proposal will bring significant changes to the most popular form of registration for commodity pool operators and commodity trading advisors.
- Compliance
Six Reasons Why Cybersecurity Portfolio Oversight Is Essential
Cybersecurity risks are ever present and pressure to secure investments is mounting. Firms need to build and operate a formal program of cybersecurity portfolio oversight and conduct ongoing assessments of their portfolio companies’ cyber posture over the entire investment lifecycle.
- Cybersecurity
- Cybersecurity Resources
FAQs: Top Questions Answered About the SEC's Private Fund Adviser Rules
Access a source for answers to common questions to help you better understand your obligations to meet the SEC's Private Fund Adviser Rules (IA-5955).
- Compliance
- Performance
- ComplianceAlpha
- Private Fund
Debunking Common Concerns About Outsourced Performance Programs
We look at concerns of moving investment performance programs to a managed services solution with a third-party service provider and outline why these apprehensions can be alleviated by working with the right provider.
- Performance
- Managed Services
Is Now the Right Time for Compliance with the GIPS Standards in Private Markets?
The Global Investment Performance Standards are no longer just a gold standard for the presentation of investment performance, but can also aid advisers to meet new regulations.
- Performance
- Private Fund
U.S. Regulatory Update – September 2023
Summer is over, and the SEC has a heavy rulemaking agenda for this fall, so hold on to your seats!
- SEC
- Compliance
- Broker-Dealer
- Investment Adviser