Insights and guidance from ACA's team of experienced compliance and technology professionals.
ACA Aponix Partner Mike Pappacena provides the key elements to building a strong cybersecurity program that not only protects your business and data, but also keeps regulators away.
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.
Our latest case study explains how ACA's NorthPoint IMS can benefit asset managers.
The end result of a firm’s efforts when claiming compliance with the Global Investment Performance Standards (GIPS®) is the delivery of a fully compliant presentation to prospective clients. This is often distributed alongside the firm’s other marketing materials.
Compliance with the GIPS® standards is recognized as an industry best practice and has become a de facto requirement, especially in the institutional money management space, in order to stay competitive.
Recently, ACA’s Mike Seery and Brian Roberts hosted a live webcast discussing recent developments in the regulation of digital assets, and how investment advisers’ compliance programs can adapt to manage related risks. During the webcast, we received several interesting questions from the audience. This post provides Mike and Brian’s take on a few of the most commonly asked questions.
A GIPS®-compliant presentation contains a number of required statistics. One such metric is the internal dispersion of individual portfolios within a composite.
A large OCIO manager and a large managed account platform, each with a large number of clients that invest in hedge funds through separately managed accounts (“SMAs”), needed a solution that could help them address the need for drill-through transparency into the constituent investments
The European Union’s General Data Protection Regulation (GDPR) entered into force on 25 May 2018 after a last-minute scramble by organisations across the globe to establish their privacy programs and update privacy notices. Now that your firm has (hopefully) built its GDPR compliance program, what should you be doing to ensure ongoing compliance with the regulation?
As of June 1, 2018, registered investment companies are required to file Form N-CEN with the Securities and Exchange Commission (“SEC”) on an annual basis. This new form replaces the semi-annual census reporting on Form N-SAR and must be filed within 75 days of a fund’s fiscal year end (with an exception for unit investment trusts, which must file within 75 days of calendar year end).
Portability refers to the ability of a GIPS®-compliant firm to present a track record that was achieved at another firm. When one firm hires a portfolio manager, there is usually a desire to market the portfolio manager’s track record while employed at the prior firm.
We're pleased to announce that ACA Compliance Group ("ACA") is nominated for several categories in the Waters Rankings 2018.
In 2002, the Sarbanes Oxley Act was enacted to augment the regulation of accounting and disclosures for public companies. This was in direct relation to aggressive accounting methods, the technology bubble, and other instances of corporate malfeasance.
Summer is finally here! With Memorial Day marking the unofficial start to summer it’s time to take a break, but in the compliance industry it’s not as simple as turning on your “out of office” and walking out the door. Compliance officers and managers need the assurance that they can leave the office and still have the resources available to fulfill both their regulatory obligations and their fiduciary duty to clients.