Building a Programmatic Approach to Cyber Portfolio Oversight
Join us for a discussion about cybersecurity portfolio oversight and the value-add it brings to sponsors.
Our Investment Company Practice supports registered investment companies, as well as their advisers and sub-advisers, board of directors, and service providers to help them build, enhance and add controls to their compliance programs to meet Investment Company Act of 1940 requirements and SEC and industry standards.
We offer objective, innovative, and effective compliance reviews and solutions to prepare registered investment companies, as well as their boards, sponsors, advisers, sub-advisers, and service providers, for the rigors of SEC examinations. We provide solutions to assist firms with managing and mitigating related operational, regulatory, and reputational risks.
We provide solutions for the following types of firms.
We provides objective, innovative, and effective compliance reviews and solutions to assist business development companies, as well as their boards, sponsors, and service providers — with preparing for the rigors of an SEC examination.
We provide objective, innovative, and effective compliance reviews and solutions to assist exchange-traded funds with preparing for the rigors of an SEC examination.
We offer diverse compliance review and compliance services, all scalable to individual client needs.
We help insurance companies and distributors understand and manage these complex compliance requirements and develop and implement the comprehensive, effective risk-based protocols necessary to meet regulators’ expectations.
Our team includes former regulators along with former along with former chief compliance officers and senior compliance managers from prominent financial institutions. Our team helps you to navigate the evolving regulatory landscape while considering the complexity of your firm’s unique compliance requirements.
Compliance solutions can include:
of the top 100 mutual funds (as noted in the Mutual Fund Directory March 2020 ranking data)
The SEC's proposed updates would expand the scope of entities subject to Rule 605, modify the reporting information it requires, and change how its orders are categorized.
Regulation S-ID, the “Identity Theft Red Flag Rule,” requires financial institutions to implement and administer a written program designed to detect, prevent, and mitigate identity theft for customers with “covered accounts.”
This month's update has tips for creating a strong ADV annual amendment, adhering to the SEC's 2023 exam priorities, and more. We share our unique insights and guidance, and include a list of important dates for the month of March.
With the deadline for many investment advisers to file their annual Form ADV coming March 31st, we tackle some of the most challenging questions and share guidance for easing the process.
The SEC has stated that future examinations will include a focus on compliance with the new Marketing Rule. We share our guidance for preparing and updating your firm's compliance program.
Six key areas your firm should focus on now: the decisions that compliance professionals make this week after recent bank collapses will have important implications for their firms, the clients that they serve, and the capital markets generally.
ACA Group is proud to be recognized for most innovative trade surveillance solution at this year’s A-Team Innovation awards announced March 23, 2023.
New scalable solution is curated to suit financial firms’ unique compliance needs and challenges
Our Connected Black Professionals employee resource group continues to foster a positive and inclusive environment for all employees through initiatives that highlight outstanding achievements and celebrate black legacy and strength.
Join us for a discussion about cybersecurity portfolio oversight and the value-add it brings to sponsors.