Meeting the PRI’s New Reporting Expectations
Join us for an overview of the PRI's 2023 reporting framework, as well as expert guidance to meet the PRI's new expectations.
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 FCA’s Market Watch 70 takes aim at failings in trade reporting arrangements, quickly followed up with a fine to a brokerage company and its directors. We provide practical guidance on how to spot your errors before the regulators do.
The SEC reopened the public comment periods for certain proposed rules due to a technological error earlier this year. We share which proposed rules were affected and should be checked for accurate comment submission.
In our October Regulatory Update, we share unique insights and practical thought leadership on recent regulatory developments for investment advisers, private fund managers, broker-dealers, dual-registrants, and mutual funds.
The SEC issued a risk alert reminding municipal advisors of their regulatory obligations. We break down the primary deficiencies and weaknesses they discuss.
The SEC fined 16 firms for failure to capture certain communications, and failure to supervise their employees by not detecting or preventing the use of unapproved devices. Find out what you need to know.
Leading global investment solutions firm chooses ACA’s ARRMA (ACA Regulatory Reporting Monitoring & Assurance) service to help manage its MiFIR and EMIR transaction reporting arrangements.
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.
On February 13th, ACA's new office in Pune, India will open adding to ACA’s “follow the sun service,” which will support clients around the clock and improve project turnaround times.
We are delighted to be named one the 100 most innovative RegTech companies in the financial industry by FinTech Global and RegTech Analyst for the 5th time!
Join us for an overview of the PRI's 2023 reporting framework, as well as expert guidance to meet the PRI's new expectations.
Join us for a discussion about cybersecurity portfolio oversight and the value-add it brings to sponsors.