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)
On March 3, 2021, the U.S. Securities and Exchange Commission’s Division of Examinations released their FY2021 Examination Priorities. The Priorities continue to focus on protecting retail investors and assessing ongoing and emerging market-wide risks. The 2021 Priorities reflect a significant shift and increased focus on climate and environmental, social, and governance (ESG) related risks and strategies.
There is just one week to go until Regulatory Horizon 2021 | Navigating Evolving Risks, our free-to-attend European based conference for financial services firms is running from 2-4 March. We outline five reasons why this event is worth adding to your calendar.
A summary of key tasks for compliance teams with a European presence along with a summary of FCA’s priorities during 2021, our analysis of key regulatory developments, and an outline of longer-term trends.
Business disruption, cybersecurity challenges and greater compliance burdens are well acknowledged operational challenges facing hedge fund, private equity and investment management industries. We examine how COVID-19 has heralded sweeping changes to the way financial services firms operate.
A recent ESMA public statement reminds firms of MiFID II rules on “reverse solicitation”. We examine what this means for firms that provide investment services to retail and/or professional clients from locations outside of the European Union.
Investors have seen stocks soar to extreme heights driven, in large part, by the concerted efforts of participants in an online forum. These developments create a number of significant risks for investment advisers.
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.