Industry Insights

On May 11, 2018, broker-dealers and other financial institutions currently covered by the US Anti-Money Laundering (AML) regime will need to become compliant with FinCEN’s new customer due diligence (CDD) requirements. These requirements significantly expand the scope of CDD, and although Financial Industry Regulatory Authority (FINRA) has yet to promulgate an update to its own […]

Hedge funds and hedge fund advisers that exceed the SEC’s Form PF filing threshold for “large” hedge funds/hedge fund advisers[1] The SEC defines large, single private funds as those exceeding $500M in regulatory AUM; large hedge fund advisers are those exceeding $1.5B in regulatory AUM. How ACA Can Help Firms that need to file Form

Likely to come into force by the end of 2019, the prudential framework will hit some firms very hard, requiring them to maintain significantly greater levels of capital. The prudential framework is a new rule book developed by the European Commission (EC) for investment firms, designed to be simpler and more proportionate to a firm’s

The Securities and Futures Commission (SFC) of Hong Kong published the conclusion to proposed changes in its Fund Manager Code of Conduct last November, helping to clarify a few remaining areas of contention following its original consultation paper. With the updated rules due to be implemented in seven months’ time, we have produced a quick

ACA ‘s Spring 2018 Compliance and Performance Conference, happening from May 9 to 11 at The Ritz-Carlton Amelia Island in Amelia Island, Florida, will feature educational sessions that are designed to keep you up-to-date on industry news, trends, and hot topics. Today ‘s conference spotlight highlights a session that will address& a topic that many

ACA ‘s Spring 2018 Compliance and Performance Conference, happening from May 9 to 11& at The Ritz-Carlton Amelia Island in Amelia Island, Florida, will feature educational sessions that are designed to keep you up-to-date on industry news, trends, and hot topics. Today ‘s conference spotlight highlights a session that will cover one of the financial

ACA ‘s Spring 2018 Compliance and Performance Conference, happening from May 9 to 11& at The Ritz-Carlton Amelia Island in Amelia Island, Florida, will feature educational sessions that are designed to keep you up-to-date on industry news, trends, and hot topics. Today ‘s conference spotlight highlights two sessions led by our performance professionals from ACA