Chicago Compliance Officer Roundtable: Hot Topics for Investment Advisers
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
As new rules and regulations are adopted and the regulatory landscape evolves your compliance programme must keep pace or risk leaving your firm exposed.
Looking to launch an ETF? We share what you need to know to get started including costs, timing, and resources required.
The SEC put out a Bulletin “to help insure investment professionals live up to” their obligations under Regulation BI and the Commission Interpretation Regarding Standard of Conduct for Investment Advisers (the “Fiduciary Interpretation”). We share tips for meeting these standards.
The survey, now in its 18th year, gathers anonymous information from U.S. investment advisers of all types and sizes for the purpose of reporting on industry trends.
The SEC makes it clear that all broker-dealers and investment advisers have conflicts of interest, and that firms must have a process to identify, mitigate, or eliminate these conflicts.
The FCA released their 2023/24 Business Plan on 5 April 2023 detailing the actions the UK regulator aims to take over the next 12 months.
This update includes tips for a stellar compliance program review, the download on the recent banking sector volatility, a reminder about Form BE-12 filing obligations, and more.
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.
As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.
Join our team in NYC at the MFA Legal & Compliance Conference.