Compliance professionals have had a busy year so far, but the tasks and testing will continue to increase.
Since the U.S.
Over the past several years, the SEC, through examinations and enforcement actions, has made it clear that it expects registered investment advisers to undertake meaningful due diligence of their service providers.
This case study explains how an investment adviser with approximately $25 billion AUM representing multiple client types and distribution channels implemented ACA's ComplianceAlpha® to address challenges with their marketing review processes.
On February 12, 2018, the U.S.
Cybersecurity has been a top focus area for the U.S. Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) for the past several years.
The decision to pursue GIPS® compliance and verification is not always a simple choice.
In data management, Knowledge Date — also called “As At” date functionality — refers to the ability to store the same data point based on the information available at a certain point in time.
On May 25, the European Union’s General Data Protection Regulation (GDPR) goes into effect.
While we could give you countless reasons why you should attend ACA’s Spring 2018 Compliance and Performance Conference, we’ve narrowed the list down to eight.
This case study details how dual-entity private equity and hedge fund manager with approximately $1 billion AUM implemented ACA's ComplianceAlpha® to build a universal risk assessment and compliance program testing regime under time and resource constraints.
The U.S. Securities and Exchange Commission’s ("SEC") Form PF presents many challenges for investment advisers, particularly those that have large data sets and multiple administrators.
We are pleased to announce that ACA Technology's Cristina Ghimusian and Ujjwala Jain have been shortlisted for WatersTechnology's inaugural Women in Technology a
Last month I had the opportunity to moderate a panel at the PEI CFOs & COOs Forum in New York on “Performance Calculations: Does the PE Industry Need More