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Our unique perspective is informed by our real-world experience, deep subject matter expertise, and extensive client network.

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5 Things Investment Advisers Need to Know about Regulatory Investment in Trade Surveillance

September 20, 2017

The SEC has demonstrated ongoing commitment to developing its technological capabilities for detecting financial crimes is impacting investment advisers across the industry. Here are 5 things investment advisers need to know.

Article
  • Regulatory Technology

MiFID II for Asset Managers: Communications Record Keeping

August 14, 2017

Communications record keeping obligations which include phone taping, are likely to prove particularly challenging when it comes to the cost of compliance and complexity of systems requirements.

Compliance Alert
  • Compliance

5 Ways to Meet Regulators' Expectations Regarding Electronic Communications

July 20, 2017

The electronic communication mediums that investment advisers use to conduct business continue to evolve, posing a challenge to the compliance community’s ability to retain and adequately supervise

Article
  • Compliance

ACA and Ashland: Why We’re Excited to be the Best GIPS Compliance Verification and Performance Team in the World

May 26, 2017

Earlier this month, ACA announced that it is set to acquire Ashland Partners & Company, LLP's GIPS compliance verification and performance practice. When this transaction closes in June, ACA Performance Services will offer the most experienced team of GIPS compliance verifiers in the world, servicing over 1,000 clients annually, including 49% of the top 100 managers of institutional assets worldwide (as determined by Pensions & Investments magazine).

Article
  • Performance

Anticipated Behavior Profile

April 24, 2017

Financial institutions (“FI’s”) are required by Anti-Money Laundering (“AML”) regulations to perform risk-based due diligence for their customers and prospective customer.

Article
  • AML and Financial Crime
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New FINRA Rule 3210 - Accounts at Other Broker-Dealers and Financial Institutions

May 16, 2016

FINRA has received approval to update the requirement for disclosure and review of employee brokerage accounts. On April 13, 2016, the U.S. Securities and Exchange Commission (“SEC”) approved Financial Industry Regulatory Authority (“FINRA”) Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to replace current National Association of Securities Dealers (“NASD”) Rule 3050 (Transactions for or by Associated Persons). The effective date for this rule has not yet been determined.

Compliance Alert
  • Compliance