On September 14, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program Risk Alert...
Compliance Alert
ACA Compliance Group recently hosted the webcast briefing Regulatory Investment in Trade Surveillance – What You Should Know. Kenny Clowers,...
Article
RegTech
On August 25 2016, the Securities and Exchange Commission (the "SEC") adopted amendments to Form ADV and Rules 204-2(a)(7) and...
Article
Performance, SEC
Communications record keeping obligations which include phone taping, are likely to prove particularly challenging when it comes to the cost...
Compliance Alert
The electronic communication mediums that investment advisers use to conduct business continue to evolve, posing a challenge to the compliance...
Article
Earlier this month, ACA announced that it is set to acquire Ashland Partners & Company, LLP's GIPS® compliance verification and...
Article
Performance
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