Regulators in both the U.S. and U.K. continue to focus on electronic communication oversight programs as a form of detecting and preventing financial crime and non-compliance within financial organizations. We’ve seen the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and the Financial Conduct Authority (FCA) increase their focus on this area over the past two years, and we anticipate this scrutiny will likely increase. This blog post tells you what you need to know and ACA's guidance.
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.
Don’t miss the opportunity to learn from industry experts, engage with like-minded peers, and connect with the top leaders in the industry at ACA's Fall
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.
Missed the 2018 DEF CON Security Conference? ACA Aponix's Justin Karpenski shares 8 key takeaways from one of the world's largest security conferences.
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.
ACA’s Askari Foy and Thomas Riley recently hosted a live webcast discussing cybersecurity best practices and trends for fund boards, sub-advisers, and investment company service providers with cybersecurity oversight. This post provides key takeaways from the webcast that investment companies can implement to help mitigate cybersecurity risk and protect the fund's assets and reputation.
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 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.
This case study explains how a growing fixed income asset management firm implemented ACA's NorthPoint IMS to address business challenges due to a lack of integrated portfolio compliance and straight through processing in their trading workflow.
This post addresses best practices for marketing when claiming compliance with the GIPS standards.
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.
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