MFA Legal & Compliance New York 2024
Join our team in NYC at the MFA Legal & Compliance Conference.
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)
The SEC issued guidance on the Care Obligation of Reg BI, emphasizing understanding risks, obtaining investor information, considering alternatives, and exercising caution with complex products.
New SEC rules require standardized categorization, machine-readable filing, and sharing of mutual fund proxy votes and shares, with say-on-pay votes reported on Form N-PX by institutional investment managers worth $100 million or more only if they vote.
This update includes insights on the third SEC Bulletin on Reg BI and Fiduciary Standard of Care, Ransomware Reminders, New N-PX Reporting, and the looming FTC Safeguards Rule.
With the SEC's no-action letter temporary relief coming to an end, broker-dealers who accept hard dollar payments for research from EU/UK asset managers must carefully evaluate their registration options to comply with the Investment Advisers Act of 1940.
The SEC is focusing on private funds and issued a risk alert in January 2022 outlining common deficiencies observed during private fund exams. Private fund managers should review their compliance programs to avoid these deficiencies.
Discover ways to leverage the power of LLMs like ChatGPT while protecting your organization from risks like privacy breaches, IP concerns, and quality control issues.
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.
As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
Join our team in NYC at the MFA Legal & Compliance Conference.
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.