Spotlight Blog

The Investment Advisers Act of 1940 ("Advisers Act") imposes a significant number of regulatory obligations on the roughly 13,000 advisers registered under its purview. One of the broader mandates under the Advisers Act, articulated by Rule 206(4)-7 (the “Compliance Program Rule”), requires advisers to review, no less frequently than annually, the adequacy of the policies and procedures established and the effectiveness of their implementation.

CFA Institute released the first major revisions to the GIPS® standards on August 31, 2018. The proposed revisions represent the most significant change to the standards since the 2010 edition of the GIPS standards went into effect on January 1, 2011.

We introduced ACA Academy at our spring compliance conference as an extra resource designed to provide compliance professionals with a non-compliance skill set that cam be applied both on and off the job. Here are five reasons to attend ACA Academy, no matter your role or company size.

This case study details how a global asset management firm with more than $100 billion in assets under management (AUM) across multiple geographic regions implemented ACA's ComplianceAlpha Marketing Review Solution (MRS) to streamline marketing reviews and meet regulatory requirements.

ACA Technology's Burt Esrig recently shared his expertise on regulatory technology with Wells Fargo Prime Investment Services for their July 2018 Business Consulting and Regulatory Updates.

This post addresses best practices for marketing when claiming compliance with the GIPS standards.