SEC Examinations: What to Expect and How to Prepare
Hear from our experienced ACA Wealth experts who will discuss SEC examinations, including what to expect, what we’re seeing in the current landscape, and how to prepare.
Webcast
Investment Performance
Global Investment Performance Standards (GIPS®) compliance and investment performance services
We are the largest team in the world providing GIPS standards verification and related services.
Our team — comprised of more than 60 professionals with extensive performance experience — provides GIPS standards verification and consulting services to investment managers around the globe.
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We have the largest market share of verified firms in P&I's Top 100 list.
(P&I top 100 list compared to the eVestment database as of 12/31/2021)
Our solutions
- Pre-Compliance Consulting: Expert advice needed to bring your firm into compliance with the GIPS standards
- Firm-wide Verification: Independent review of your firm’s claim of GIPS compliance
- Performance Examination: In addition to a firm-wide verification, a composite-specific review can be performed
- 2020 GIPS Compliance Gap Analysis: Assistance in assessing the impact of the 2020 GIPS standards for your firm
- In-depth review of data, methodologies, records, controls, and disclosures to support calculating investment performance
- Assistance with the execution of the firm's compliance program
- Includes review of calculation methodologies for internal rate of return (IRR) for investments or funds in accordance with FINRA Regulatory Notice 20-21
- Results in a summary report to management, including findings and recommendations, in accordance with regulatory requirements and industry leading practices
- Review and examination of input data, methodologies, and assumptions used to support an investment performance track record
- Provides assurance and lends credibility to the underlying track record
- Results in customized performance certification report provided by ACA to the firm which may be used in marketing efforts
On demand webcast
The New Marketing Rule: A Focus on Performance
Join ACA and K&L Gates for a detailed explanation of the specific performance requirements of the new Marketing Rule, how they differ from prior no-action letters, and what steps a firm should take.
Expert Consulting and Verification Services
For over two decades, ACA has earned the trust of our clients by offering expert consulting and verification services. Find out why most firms trust ACA for their GIPS performance and compliance services.
Featured insights
Our unique perspective is informed by our real-world investment performance service experience, deep subject matter expertise, and extensive client network.
Industry Insights on Deal Level Net Performance
The CFA Institute and ACA Group hosted a roundtable on Deal Level Net Performance Methodologies. We outline our insights into the potential solutions around deal level net performance.
Article
- Performance
Q&A For Common Marketing Rule Performance Calculation Questions
We’ve put together responses for some of the most common questions we get asked to help your firm meet the requirements of the Marketing Rule.
Article
- SEC Marketing Rule
- Performance
White Paper: The Private Equity Managers Path to Compliance With the GIPS Standards
This white paper outlines the increased importance for private equity firms to claim GIPS compliance and takes firms through the various requirements.
Article
- Performance
Mitigating Risks Associated with Composite Performance Reporting Using ACA’s Performance Analytics Services
In addition to developing marketing materials and ensuring appropriate disclosures, firms must ensure that the performance being generated truly reflects the fund or strategy being offered.
Article
- Performance
- SEC Marketing Rule
Our leadership team
Karen Foley
Head of Performance Services
Chase Frei
Partner, Performance Services
Greg Hogan
Partner, Performance Services
Julia Reyes
Partner, Performance Services
News
SEC Private Fund Unit Veteran Michele Foldenauer Joins ACA Group to Co-Lead Tech-Enabled Mock Examination Team
ACA Group is excited to announce that Michele Foldenauer has joined ACA Group as a Managing Director and a leader of our tech-enabled Mock Examination Team.
ACA Group Named a 2024 DataTech50 Provider
ACA Group acknowledged as one of the most innovative tech companies offering data management solutions in financial services
ACA Group Expands U.S. Compliance Team with Former SEC and FINRA Regulators, In-House CCOs, Seasoned Regulatory Consultants, and Attorneys
We are committed to meeting the needs of our clients. This year, we have made several notable additions to the team to help us to continue to operate at the forefront of the compliance industry. Learn more about our team.