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Sharpen Your Pencils: Form ADV Updates are Due March 30

Advisers with a December 31 fiscal year end must file the annual amendment to Form ADV by March 30. Here are a few things to keep in mind when preparing the update.

Article
  • Compliance
  • SEC
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The SEC's Climate Disclosure Rule: A Reminder That Climate-Related Risks May Be Material

The SEC finalized the much-debated climate disclosure rule citing the importance of providing investors with standardized and centrally located climate-related disclosures.

Compliance Alert
  • ESG
  • SEC
Regulatory History Frames Current Issues for ETF Industry

White Paper: Regulatory History Frames Current Issues for the ETF Industry

We partnered with K&L Gates to look back at the evolution of the ETF industry in the U.S. over the past 30 years. The themes highlighted in this paper will likely guide the continuing evolution of ETFs.

Article
  • Distribution
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Strategies to Transform Your Compliance Program with Technology - #4: Planning

Plan your technology implementation thoughtfully, step by step.

Article
  • RegTech
  • ComplianceAlpha
December

Benchmarking Insights: Tracking the Impact of the Private Fund Adviser Rules

We captured insights into the Private Fund Adviser Rules through a series of polling questions and examine what they mean for firms.

Article
  • Private Fund
  • SEC
  • Compliance
  • Performance
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NIST Cybersecurity Framework 2.0

The National Institute of Standards and Technology (NIST) released version 2.0 of its landmark cybersecurity framework.

Article
  • Cybersecurity
  • Cybersecurity Resources
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Surveillance Program Gap Analysis Checklist

Download our checklist to ensure your surveillance program can weather changing the risk environment.

Article
  • ComplianceAlpha
  • Compliance
  • eComms Surveillance
  • Trade Surveillance
International Women's Day 2024

ACA's Celebration of Women's Impact from History to Herstory

ACA proudly joins the global celebration of International Women's History Month, commemorating the remarkable achievements and enduring legacies of women worldwide.

News
  • ACA News
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New Requirements for Broker-Dealer Execution Quality Reports

Amendments to Rule 605 also require attention from Investment Advisers and Investment Company Directors

Compliance Alert
  • Compliance
  • Broker-Dealer
  • SEC
December

Private Fund Quarterly Statement Rule Breakdown - Performance Disclosures

In the months since the release of the final rule, we continue to dig further into the practical implications of these required disclosures and the impacts on private fund managers’ current reporting structure.

Article
  • Private Fund
  • Performance
  • SEC