ACA hosts free compliance events across the country for chief compliance officers from broker-dealers, investment advisers, hedge funds, private equity funds, and investment companies, among others. These regional events include discussions on current SEC focus areas.
Evidenced by several recent newsworthy SEC actions, regulatory scrutiny related to GIPS compliance and performance reporting is on the rise. As a result, oversight of a firm’s GIPS program is more important than ever. If GIPS compliance falls in your … Continue reading
Brandywine Managers, LLC, ACA Compliance Group, and Morgan Lewis Present the Philadelphia Compliance Roundtable Please join us for a roundtable designed to assist broker-dealer and investment adviser compliance professionals in dealing with current tough regulatory challenges. Our industry-knowledgeable panelists will … Continue reading