Private Fund Reform Rule Deep Dive - Restricted Activities and Limitations to Preferential Treatment
This webcast will break down the restricted activities and limitations to preferential treatment established by the SEC's Private Fund Reform Rule.
Regulators continue to increase their focus on a firm’s capital monitoring and forecasting, and regulatory reporting processes. In turn, investment management and advisory organisations continue to seek expertise in regulatory oversight.
In addition, the Investment Firm Prudential Regime (IFPR) came into force for all UK MiFID investment firms on 1 January 2022. First developed by the European Union (EU) and subsequently refined by the FCA, the proposed new prudential rules introduce more complex and onerous capital, liquidity, reporting and governance requirements for affected firms.
ACA's experienced prudential team are on hand with a wide range of solutions designed to help make your regulatory reporting obligations as simplified and seamless as possible.
The Investment Firm Prudential Regime (IFPR) directly impacts any group that owns an FCA authorised firm that provides MiFID investment services and activities -
Download our checklist to find out top tips to make sure you have addressed your obligations.
The UK FCA's Market Watch 74 focuses on transaction reporting issues, highlighting improvements but persistent data quality problems. It covers MDP usage, E&O submissions, validation rules, decision maker identification, and more.
Will the UK Chancellor’s new packages of pension reforms boost the UK markets and open up new opportunities for investment into UK Growth Companies?
The FCA released their 2023/24 Business Plan on 5 April 2023 detailing the actions the UK regulator aims to take over the next 12 months.
SM&CR is being assessed by the FCA, PRA, and HM Treasury and invites stakeholder views on areas of potential change, specifically the effectiveness, scope, and proportionality of SM&CR and "other improvements" to SM&CR.
Be prepared for the year ahead with our calendar of key regulatory reporting deadlines, on-going and annual regulatory obligations, and national holidays.
A global brokerage firm has been hit with a £531,000 FCA fine for failing to make reports crucial in fighting potential market abuse. Its board members were also fined and banned from management positions in FCA regulated firms. We assess how and why this happened and provide practical guidance to avoid similar enforcements.
ACA is proud to celebrate Hispanic Heritage Month from September 15 - October 15 alongside our Hispanic/Latinx Organization for Leadership and Advancement (HOLA) Employee Resource Group (ERG)!
New partnership with LeapXpert will help financial firms surveil multiple messaging channels to meet client expectations while ensuring regulatory compliance.
The 2023 Investment Management Compliance Testing Survey results reveal marketing is still the top compliance concern. Cybersecurity and electronic communications follow closely behind.
This webcast will break down the restricted activities and limitations to preferential treatment established by the SEC's Private Fund Reform Rule.
Learn how technology can help you streamline the Best Execution review process and meet regulatory requirements.
This webcast will discuss key factors you should consider as you determine whether transitioning to an ETF is the right option for your fund.