On April 16, the SEC's OCIE issued a risk alert detailing compliance issues from recent examinations of investment advisers and broker-dealers pertaining to privacy regulations.
Insights and guidance from ACA's team of experienced compliance and technology professionals.
The SEC's OCIE recently updated their document request list for cybersecurity examinations. Find out what's new in the document request list and how your firm should prepare for a cyber examination.
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.
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
Is your firm prepared for the SEC's new cyber focus areas for 2019? Find out what your firm needs to know, and what you can do to prepare.
The U.S. Securities and Exchange Commission (“SEC”) is currently operating in accordance with the agency’s plan for operating during a federal government shutdown.
On December 20, 2018, the U.S.
On October 16, 2018, the U.S.
On September 26, the U.S.
ACA Summer School is a prelude to ACAcademy, our full scope SEC compliance training program being offered in London this autumn.