MFA Legal & Compliance New York 2024
Join our team in NYC at the MFA Legal & Compliance Conference.
As new rules and regulations are adopted and the regulatory landscape evolves your compliance programme must keep pace or risk leaving your firm exposed.
Following HM Treasury & ESMA announcements, the FCA has provided an update on the notification and reporting of short sales under its newly onshored regime. We examine the revised UK regime and explore if this is an early taste of post-Brexit accommodation.
Following the end of the Brexit transition period, AIFMs wishing to market their funds should re-evaluate the AIFMD marketing notification requirements.
During the course of 2020, the SEC was active in proposing and adopting new rules. Beyond rulemaking, the SEC also issued exemptive orders and no-action letters of note, including actions related to COVID-19. Here, we highlight some of the SEC’s 2020 regulatory activities for registered investment companies.
The Brexit transition means in excess of 1,500 global firms need to adapt their business models and regulatory registration arrangements to continue operating within the UK. We outline details of the UK transitional regimes, the FCA’s expectations of international firms operating in the UK and the FCA authorisation process.
To help you stay on track with your firm’s FINRA reporting obligations, we’ve put together a printable calendar with key deadlines in addition to U.S. national holidays at a glance.
With just days to go to the end of the transition period for the UK’s departure from the EU, we’ve developed a checklist of key considerations and activities that UK investment managers need to prepare.
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.
Join our team in NYC at the MFA Legal & Compliance Conference.
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.