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.
Conference
Registration, Authorization, and Initial Filing Services
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.
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Who we've helped
With a client base of over 3,500 firms, we've successfully assisted thousands of firms through the registration and authorization process.
SEC Registrations for U.S. Firms
700+
SEC Registrations for Non-U.S. Based Firms
100+
FCA Authorizations
350+
Why work with us?
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.
Latest insights
How ETP Managers Can Ensure Compliance with Continued Listing Standards
In early 2017, the SEC approved rule-change proposals establishing continued listing standards for passively and actively managed exchange-traded products. More specifically, the rules require ETP issuers and managers to adopt new monitoring and oversight protocols to ensure continued compliance with the applicable listing standards. In the event an ETP falls out of compliance with the standards, the Manager must promptly notify the appropriate Exchange.
Article
- Compliance
Are You Ready? SFC's FMCC Compliance Checklist
On November 18, 2018, this new set of rules will come into force, bringing additional governance, operational, and disclosure requirements. As the FMCC countdown clock ticks ever closer to the deadline, these are the key compliance components that fund management firms should have in place before impact day.
Article
- Compliance
FCA Warns Firms Over Market Abuse Surveillance
The UK’s Financial Conduct Authority (FCA) outlined a number of observations relating to market abuse surveillance. These should serve as a reminder and encourage investment management firms to review their existing policies, systems and controls in this area. But what does this guidance say and how should firms best take heed?
Article
- Compliance
Financial Institutions May Need to Reconsider Their Approach to Electronic Communication Surveillance
Regulators in both the U.S. and U.K. continue to focus on electronic communication oversight programs as a form of detecting and preventing financial crime and non-compliance within financial organizations. We’ve seen the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and the Financial Conduct Authority (FCA) increase their focus on this area over the past two years, and we anticipate this scrutiny will likely increase. This blog post tells you what you need to know and ACA's guidance.
Article
- Compliance
Behind on Your Annual Testing Mandate? How ACA Can Help
The Investment Advisers Act of 1940 ("Advisers Act") imposes a significant number of regulatory obligations on the roughly 13,000 advisers registered under its purview. One of the broader mandates under the Advisers Act, articulated by Rule 206(4)-7 (the “Compliance Program Rule”), requires advisers to review, no less frequently than annually, the adequacy of the policies and procedures established and the effectiveness of their implementation.
Article
- Compliance
ACA Compliance Group Completes the Acquisition of Cordium
ACA Compliance Group (“ACA”) announced today that, following the receipt of regulatory approvals, it has completed the acquisition of Cordium, a leading provider of governance, risk, and compliance (GRC) products and services. As of today, ACA employs nearly 700 people and provides products and services to over 4,000 clients worldwide. The financial terms of the transaction will not be disclosed.
News
- Compliance
News
ACA Mirabella Celebrates Ninth Consecutive Year of Success at With Intelligence HFM European Services Awards
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
ACA Announces Expansion of the Executive Leadership Team with Key Appointments
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.
Highlights From the 2024 ACA Conference
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.
Upcoming events
Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night
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.
Webcast
MFA Legal & Compliance New York 2024
Join our team in NYC at the MFA Legal & Compliance Conference.
Conference