Wealth Management EDGE
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE 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)
This issue covers the SEC Division of Enforcement’s 2022 annual report, FINRA’s recent sweep of crypto-related communications, recently adopted mutual fund rules, and compliance concerns for real estate fund managers when interest rates rise.
A global brokerage firm has been hit with a £531,000 FCA fine for failing to make reports crucial in fighting potential market abuse. Its board members were also fined and banned from management positions in FCA regulated firms. We assess how and why this happened and provide practical guidance to avoid similar enforcements.
EXAMS issued its sixth Risk Alert to let advisers and broker-dealers know how firms are failing to meet their obligations under Regulation S-ID, the “Identity Theft Red Flag Rule."
Compliance teams are increasingly challenged to keep regulatory pace and best practices while managing with fewer internal resources, demand for increased efficiency, and budget constraints. This leaves firms in danger of creating risky exposure gaps in their compliance program. Learn more about practical ways to address these challenges.
The SEC issued its four-year strategic plan for 2022-2026. We summarize the goals of the plan and explore what it means for the next four years.
With an economic storm stemming largely from political ideology, we examine what impact this geopolitical and macroeconomic uncertainty has on the private markets.
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 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.
Join ACA and BlueFlame AI for an in-depth discussion of the intricate world of AI implementation within private funds, highlighting key compliance considerations, regulatory frameworks, and best practices.