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.
The registration or application process can seem lengthy, overwhelming, and daunting. Whether you seek authorization for the first time or are an established regulated firm looking to move into a new line of business, we can help you avoid unnecessary complications and delays.
Our team will simplify the process by assisting with your initial application or filing, supporting the set-up and implementation of your compliance program, and providing ongoing support.
With a client base of over 3,500 firms, we've successfully assisted thousands of firms through the registration and authorization process.
Our team includes former SEC, FINRA, FCA, NFA, CFTC, OCC, and state regulators along with former along with former Chief Compliance Officers and senior compliance managers from prominent financial institutions. We offer a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value.
With ACA, you can feel confident knowing that your consultants have the relevant and current regulatory and in-house expertise to support you through every step of the process.
Martin Fawzy joins ACA’s dedicated team, offering SEC regulatory consulting for firms located outside of the U.S.
Find out what financial firms have identified as three of the knottiest issues facing compliance teams this year, the top five compliance areas that could benefit from better technology, and the biggest hurdles to compliance technology adoption in our latest peer analysis infographic.
The General Data Protection Regulation (GDPR) reached its third-year anniversary on 25 May 2021. Three years after implementation, we speak with Alex Scheinman, Managing Director, ACA Aponix, about the impact of the regulation, how the COVID-19 global pandemic, Brexit and Schrems II influence the regime, and where data privacy rules will head next.
How can private equity and real estate advisers best prepare for regulatory exams in 2021? While we provided an overview of the 2021 Examination Priorities of the U.S. Securities and Exchange Commission’s Division of Examinations, advisers should consider whether they are prepared to respond to inquiries in the following areas.
The lack of significant Brexit rules currently governing financial services creates some confusion and challenges for firms. We've developed a free to download whitepaper that examines a range of scenarios for how firms with a UK- and EEA-based presence might structure their business in a post-Brexit world
On April 13, 2021, the NFA issued a Notice to Members.
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.