Compliance Program Development and Enhancement
As new rules and regulations are adopted and the regulatory landscape evolves your compliance programme must keep pace or risk leaving your firm exposed.
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So You Survived Year-End Compliance Testing — But are You Ready for What’s Next?
Compliance professionals have had a busy year so far, but the tasks and testing will continue to increase.
- Compliance
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Due Diligence of Research Firms and Data Providers - What Investment Advisers Need to Know
Over the past several years, the SEC, through examinations and enforcement actions, has made it clear that it expects registered investment advisers to undertake meaningful due diligence of the
- Compliance
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Takeaways from the SEC’s 2019 Fiscal Year Budget Request
On February 12, 2018, the U.S.
- Compliance
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FCA’s Dear CEO letter targets improved prudential processes
For the first time in some years, the Financial Conduct Authority (FCA) has written to asset managers’ CEOs on prudential matters. The letter includes a plea by the FCA for data that it, and the EBA, can rely upon when aggregating firms’ submissions to understand the macro picture.
- Compliance
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How ACA’s Form PF Solutions Can Help Lighten the Load
The U.S. Securities and Exchange Commission’s ("SEC") Form PF presents many challenges for investment advisers, particularly those that have large data sets and multiple administrators.
- Compliance
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What to Expect from Electronic Communications Exam Requests
SEC examinations of Registered Investment Advisers are on the rise. Here's a look at what the regulators are asking for and considerations for production.
- Compliance
News
Advisers’ Concerns of Off-Channel Communications Surpasses the Marketing Rule as Top Compliance Concern, Survey Reveals
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey.
ACA Group Named Most Preferred Workplace by Marksmen/India Today 2024-2025
ACA Honored with Marksmen/India Today Award for Most Preferred Workplace for 2024-2025
Apex Group and ACA Form Strategic Partnership to Enhance Client Experience
Apex Group and ACA form strategic partnership to enhance client experience. The alliance enables clients to seamlessly identify a reputable service provider that will help support and protect their business.