Insights
Brexit and the FCA's Temporary Permissions Regime: The Final Countdown?
With the UK government’s desperate attempts to achieve a Brexit settlement having reached a crescendo, the FCA continues to make preparations for the worst case no-deal scenario. There appears still to be some uncertainty about who the regime applies to. This alert updates our previous alert on the same topic, with the objective of providing certainty to our clients on the current position.
- Compliance
The SEC Encourages Transfer Agents to Review and Strengthen Policies, Procedures and Controls
On February 13, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations ( OCIE) issued a Risk Alert highlighting the concerns and issues associated with certain types of transfer agents (“TAs”) that also serve as paying agents. While the Risk Alert is aimed at certain operational and regulatory requirements, compliance professionals within the mutual fund industry should also consider how certain areas identified by OCIE are compared to their mutual fund company’s in-house or third-party TA and/or sub-transfer agent(s).
- Compliance
White Paper: Board Oversight of Cybersecurity… In Search of the Rosetta Stone
ACA Compliance Group and ACA Aponix are please to present their newest white paper, Board Oversight of Cybersecurity...In Search of the Rosetta Stone.
- Compliance
SEC OCIE To Launch Cybersecurity Initiative Focused on M&A
Missed the 2019 Mutual Fund and Investment Management Conference? ACA's Jim Pappas shares his observations from the keynote session which featured a speaker from the SEC.
- Cybersecurity
Why Financial Services Firms Must Prepare for the California Consumer Privacy Act
ACA's Alex Scheinman discusses why financial services firms should prepare for CCPA compliance and develop a compliance roadmap.
- Cybersecurity
ACA Compliance Group's Spring 2019 Alternative Fund Manager Survey
Are you interested in what frequently asked compliance questions your peers have raised or have wondered about? Participate in our Alternative Fund Manager Survey.
- Compliance
ACA Announces Version 3.5 of ACA’s Decryptex Surveillance Technology
Key features include new and enhanced algorithms, vendor integrations for expert network or meeting calendar information, reporting enhancements, and user interface improvements.
- RegTech
- Trade Surveillance
Case Study: ACA's M&A Diligence and Advisory Services for a Large Cap PE Firm Interested in Acquiring a Healthcare SaaS Provider
This case study explains how a large cap private equity firm utilized ACA's M&A diligence and advisory services to assess the quality and sophistication of the target’s core IT software and systems.
- Cybersecurity
Liquidity Risk Management Program Rule Survey
We invite you to participate in our second Liquidity Risk Management Program Rule Survey. We understand there is a continued need for transparency and insight into the various ways mutual funds, investment advisers, and sub-advisers are approaching the liquidity risk management program rule. By participating in this survey, you can help us identify trends in how firms are complying with, or getting ready to comply with the rule. Results will be presented later this spring so you can implement some of the most common practices at your firm.
- Compliance
Addressing the Rising Cost of Non-Compliance with RegTech
We discuss how regulators' advances in tech are supporting their ever-broadening scope of responsibility, resulting in increased enforcement actions and fines. In this landscape, RegTech is no longer a "nice to have" for investment firms, but an imperative.
- RegTech