Wealth Management EDGE
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE 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.
ACA Compliance Group, Investment Adviser Association, and BrightSphere Investment Group invite you to participate in the 2020 Investment Management Compliance Testing Survey. The survey will remain open through Sunday, May 31.
Two new and dangerous exploits of the popular Zoom teleconferencing software that allow attackers to hack Zoom users, spy on their calls, and potentially exfiltrate user data have been made available for sale to hackers.
The FCA is maintaining a dedicated webpage detailing its expectations for solo-regulated firms during the COVID-19 pandemic, and guidance on the application of the Senior Managers and Certification Regime (“SM&CR”).
On April 9, 2020, the SEC announced temporary, conditional relief until December 31, 2020, allowing business development companies flexibility to issue and sell senior securities, and invest alongside certain affiliates that would otherwise be prohibited by the Investment Company Act.
The SEC issued a public statement addressing the June 30, 2020 implementation deadline for Regulation Best Interest and Form CRS in light of the challenges raised by the COVID-19 pandemic.
At our recent UK conference, 'Regulatory Horizon 2020 | The Challenges Ahead', we captured 10 concerns for European firms (aside from Covid-19). This checklist remains relevant for firms prepared to look through the crisis to the eventual recovery ahead.
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 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.
Join ACA and BlueFlame AI for an in-depth discussion of the intricate world of AI implementation within private funds, highlighting key compliance considerations, regulatory frameworks, and best practices.