Key Findings from the ACA and NSCP 2024 Cybersecurity Program Benchmarking Survey
We will share valuable insights from our biannual Cybersecurity Benchmarking Survey in partnership with NSCP.
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 provide 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)
We captured insights into the Private Fund Adviser Rules through a series of polling questions and examine what they mean for firms.
Download our checklist to ensure your surveillance program can weather changing the risk environment.
Amendments to Rule 605 also require attention from Investment Advisers and Investment Company Directors
This update covers new rules for asset-backed securities transactions, tips for filing Form ADV, FINRA's new rules for home offices and the remote office inspection program, the Corporate Transparency Act, and more.
The FCA’s recent proposal to publicise investigations should prompt investment firms to take a fresh look at compliance culture, platforms and testing.
FINRA recently published a regulatory notice to revise the definition of an OSJ and how OSJs are supervised.
Our annual survey in partnership with NSCP reveals that investment firms overlook AI as a cybersecurity risk and remain wary about SEC cybersecurity enforcement and compliance with new rules
ACA Wealth sets a new standard in GRC support for wealth managers, providing unmatched expertise and comprehensive solutions to address evolving regulatory requirements.
ACA proudly joins the global celebration of International Women's History Month, commemorating the remarkable achievements and enduring legacies of women worldwide.
We will share valuable insights from our biannual Cybersecurity Benchmarking Survey in partnership with NSCP.
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
Join our team in NYC at the MFA Legal & Compliance Conference.