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Insights

April 2, 2018 | White Paper

ACA Performance Services is pleased to present, GIPS® Committees and Working Groups, a white paper summarizing frequently asked questions from a sample of our clients about GIPS Committees.

What's Inside?

Maintaining a GIPS committee or an informal working group

Application of a GIPS committee within startup firms as well as established global entities

Frequency of committee meetings

Committee meeting topics and activities

April 2, 2018 | Blog Article

During the first quarter of 2018, U.S. regulatory agencies and a federal district court issued statements and took actions that are likely to significantly affect the U.S. regulatory landscape for digital assets, including cryptocurrencies, initial coin offerings, and digital asset trading platforms. This blog post is a summary of our article detailing the recent key regulatory developments that apply to organizations operating in the U.S. digital asset space.

April 2, 2018 | Article

During the first quarter of 2018, U.S. regulatory agencies and a federal district court issued statements and took actions that are likely to significantly affect the U.S. regulatory landscape for digital assets, including cryptocurrencies, initial coin offerings, and digital asset trading platforms. This article is intended to serve as a summary of the recent key regulatory developments that apply to organizations operating in the U.S. digital asset space.

April 1, 2018 | Blog Article

A cyber-attack can happen at any time, often when we least expect it. Many of us wouldn't even think of the possibility of being hacked during something as routine as our morning commute. However, the reality is that many of us use electronic devices every day, all day, that can become targets for cyber crime. The good news is we can prevent these attacks. Below are some of the ways you may put yourself at risk before you've even arrived at the office, and the simple steps you can take to protect yourself.

March 28, 2018 | Blog Article

Firms of all sizes frequently ask about the relevance and importance of forming a GIPS® Committee within their organization. Startup firms debate whether a GIPS Committee provides any added value when limited personnel causes constraints on resources. Conversely, well established, global entities often see the added value in having a committee but must weigh the operational burdens involved.

March 28, 2018 | Compliance Alert

Below are the regulatory filing submission deadlines occurring from April through June 2018. All filings are supported by the ACA Regulatory Reporting platform (ACA RR), except where noted.

Filing Name

March 28, 2018 | Blog Article

ACA’s Spring 2018 Compliance and Performance Conference, happening from May 9 to 11 at The Ritz-Carlton Amelia Island in Amelia Island, Florida, will feature educational sessions that are designed to keep you up-to-date on industry news, trends, and hot topics.

March 28, 2018 | Blog Article

The Securities and Futures Commission (SFC) of Hong Kong published the conclusion to proposed changes in its Fund Manager Code of Conduct last November, helping to clarify a few remaining areas of contention following its original consultation paper.

March 27, 2018 | Blog Article

ACA’s Spring 2018 Compliance and Performance Conference, happening from May 9 to 11 at The Ritz-Carlton Amelia Island in Amelia Island, Florida, will feature educational sessions that are designed to keep you up-to-date on industry news, trends, and hot topics.

March 27, 2018 | Product Update

ACA Aponix is pleased to announce our new GDPR-specific due diligence questionnaire (DDQ), which is designed to determine if your vendors are compliant with GDPR requirements, working towards compliance, or have not considered the implications of GDPR. This brief DDQ can be administered as a standalone questionnaire at a reduced rate, and it is now included by default in the standard ACA Aponix vendor DDQ.

March 26, 2018 | Press Release, Product Update
Key features include a redesigned user interface and the integration of Form 13F with Form PF.

ACA Technology Solutions, a division of ACA Compliance Group and a leading provider of investment management and regulatory compliance technology solutions, today announced the release of ACA Regulatory Reporting (“ACA RR”) 5.0.

Key enhancements include:

March 26, 2018 | Blog Article

ACA’s Spring 2018 Compliance and Performance Conference, happening from May 9 to 11 at The Ritz-Carlton Amelia Island in Amelia Island, Florida, will feature educational sessions that are designed to keep you up-to-date on industry news, trends, and hot topics.

March 25, 2018 | Compliance Alert, Article

ACA Europe Digest provides clients with a brief overview of the major compliance developments facing investment managers, including issues we have reported on over the last few months, and a look ahead to what’s on the horizon. We appreciate understanding the relevant issues to your business from a regulatory compliance perspective can be a time-consuming exercise. However, ACA’s team continue to analyse regulatory developments and relevant legislation to assist you in staying current.

March 23, 2018 | Compliance Alert, Blog Article

Firms that claim compliance with the GIPS® standards are required to notify CFA Institute of their claim of compliance. Each firm must submit the GIPS Compliance Form annually by June 30. Any data included in this form must be as of the prior December 31. Firms completing the form currently must include data as of December 31, 2017. Note that the form can be submitted anytime between now and June 30 and is not dependent upon completion of a firm’s 2017 verification.

March 23, 2018 | Compliance Alert

Under the proposal, a fund would be able to classify a security’s liquidity across multiple classifications in the following three scenarios. A fund would be required to note which of the three scenarios led the fund to split the classifications of the holding.

March 23, 2018 | Blog Article

ACA’s Spring 2018 Compliance and Performance Conference, happening from May 9 to 11 at The Ritz-Carlton Amelia Island in Amelia Island, Florida, will feature educational sessions that are designed to keep you up-to-date on industry news, trends, and hot topics.

March 23, 2018 | Cyber Alert

This advisory contains information about the Orbitz data breach and the OCR's investigation of a healthcare company's data breach.

March 22, 2018 | Compliance Alert, Blog Article

Compliance professionals have had a busy year so far, but the tasks and testing will continue to increase.

From preparing and filing the new Form ADV to assessing new regulations such as GDPR, compliance teams are feeling the strain of managing their day-to-day tasks as well as the stress of conducting periodic testing.

As the current quarter draws to a close, compliance managers should review their risk matrix and compliance calendar to ensure the following tasks are accounted for:

March 22, 2018 | Blog Article

ACA’s Spring 2018 Compliance and Performance Conference, happening from May 9 to 11 at The Ritz-Carlton Amelia Island in Amelia Island, Florida, will feature educational sessions that are designed to keep you up-to-date on industry news and hot topics. Today’s conference spotlight highlights three sessions that will be led by the cyber and technology risk professionals from ACA Aponix.

March 21, 2018 | Compliance Alert, Blog Article

Since the U.S. Securities and Exchange Commission’s (“SEC”) 2014 implementation of its National Exam Analytics Tool (“NEAT”), the SEC has increased the type and amount of data it requires from registered investment advisers as part of the SEC’s exam program. Specifically, ACA has observed a substantial increase in the type of trading and position data that the SEC uses to analyze advisers’ investing activities.

March 20, 2018 | Compliance Alert, Blog Article

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.

March 16, 2018 | Case Study, Blog Article

ACA Technology's case studies highlight how ACA's technology solutions can help firms streamline operations, scale for growth, and meet business objectives effectively and efficiently.

Today's case study focuses on ComplianceAlpha®, ACA's secure, centralized platform for risk and compliance program management.

March 13, 2018 | Press Release, Product Update

ACA Technology Solutions, a division of ACA Compliance Group and a leading provider of investment management and regulatory compliance technology solutions, today announced the completely redesigned and web-based Data Warehouse, Data Browser, and Security Master for the NorthPoint Platform. Additional redesigned and web-based components for the NorthPoint Platform will be released later this year.

Key features and benefits include:

March 6, 2018 | Compliance Alert, Cyber Alert

On March 5, 2018, New York State Department of Financial Services’ (“NYS-DFS”) Superintendent Maria T. Vullo issued notices to firms that failed to file their certification of compliance with Article 23 Part 500 (“NYS-DFS 23 NYCRR 500”).

March 2, 2018 | Compliance Alert, Blog Article

On February 12, 2018, the U.S. Securities and Exchange Commission (“SEC”) released its Fiscal Year 2019 Congressional Budget Justification and Annual Performance Plan, combined with its Fiscal Year 2017 Annual Performance Report. In reading through the budget request and the annual performance report, we have noted the following: