Highlights and link to the Innovation in Compliance with Tom Fox podcast episode, Nimble and Strategic Compliance: A Conversation with Patrick Conroy. Fox and ACA's Conroy discuss a range of topics related to regulatory technology (RegTech).
On February 13, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations ( OCIE) issued a Risk Alert highlighting the concerns and issues associated with certain types of transfer agents (“TAs”) that also serve as paying agents. While the Risk Alert is aimed at certain operational and regulatory requirements, compliance professionals within the mutual fund industry should also consider how certain areas identified by OCIE are compared to their mutual fund company’s in-house or third-party TA and/or sub-transfer agent(s).
ACA Compliance Group is pleased to present their newest survey results in the form of a white paper, 2019 Liquidity Risk Management Program Rule Survey Results.
ACA Compliance Group and ACA Aponix are please to present their newest white paper, Board Oversight of Cybersecurity...In Search of the Rosetta Stone.
Missed the 2019 Mutual Fund and Investment Management Conference? ACA's Jim Pappas shares his observations from the keynote session which featured a speaker from the SEC.
Soft skills are increasingly becoming the hard skills of today's workforce, which is why we’re excited to introduce the ACA Professional Skills Academy at ACA’s Spring 2019 Compliance and Performance Conference in Miami, Florida. Join ACA for the half-day workshop focused on developing your professional “presence” and improving the productivity, efficiency, and fun of corporate meetings.
ACA's Alex Scheinman discusses why financial services firms should prepare for CCPA compliance and develop a compliance roadmap.
Are you interested in what frequently asked compliance questions your peers have raised or have wondered about? Participate in our Alternative Fund Manager Survey.
This case study explains how a large cap private equity firm utilized ACA's M&A diligence and advisory services to assess the quality and sophistication of the target’s core IT software and systems.
We invite you to participate in our second Liquidity Risk Management Program Rule Survey. We understand there is a continued need for transparency and insight into the various ways mutual funds, investment advisers, and sub-advisers are approaching the liquidity risk management program rule. By participating in this survey, you can help us identify trends in how firms are complying with, or getting ready to comply with the rule. Results will be presented later this spring so you can implement some of the most common practices at your firm.
In less than two months, hundreds of compliance and performance professionals will be arriving in Miami for ACA’s Spring 2019 Compliance and Performance Conference. This year’s event will mark the fifth anniversary of ACA’s performance track, focused exclusively on issues related to performance measurement and the GIPS standards.
ACA's Burt Esrig illustrates how regulators' advances in tech are supporting their ever-broadening scope of responsibility, resulting in increased enforcement actions and fines. In this landscape, RegTech is no longer a "nice to have" for investment firms, but an imperative.
The U.S. Securities and Exchange Commission (SEC) and its staff have been busy since the end of the recent partial government shutdown. While there is certainly much work behind the scenes we do not get to see, there is plenty of public work that registered investment companies should note. For instance, the following matters occurred during the last two weeks of February