As an SEC-registered investment adviser or Exempt Reporting Adviser (“ERA”), your firm and your books and records may be is subject to examination by the SEC regardless of whether it is headquartered in London, New York, or elsewhere.
July 30, 2015
Effective preparation for SEC, FCA, FINRA, and NFA examinations is critical to successful outcomes. Please join us on Thursday, August 6, 2015 from 11:00am to 12:00pm EDT for a webcast as ACA Compliance Group’s experts compare and contrast regulatory examination approaches.
July 14, 2015
ACA partner, Jeff Morton, will be speaking at the PLI Seminar: Fundamentals of Investment Adviser Regulation 2015. He will be discussing the SEC Exam Focus.
June 10, 2015
The June 2015 edition of Performance Insight discusses the challenges firms face with regards to regulatory scrutiny and also offers several solutions for fortifying confidence in reporting investment performance. Here is a sampling of topics:
May 22, 2015
On May 20, the U.S. Securities and Exchange Commission (“SEC”) proposed rules, forms, and amendments to modernize and enhance the reporting and disclosure of information by investment companies and investment advisers.
April 27, 2015
In January we noted that the SEC’s Office of Compliance Inspections and Examinations ("OCIE") had published its 2015 examination focus areas. These areas included risk based inspections of investment company complexes that have never been examined.
April 20, 2015
In recent months, ACA has observed an increase in U.S. Securities and Exchange Commission ("SEC") examinations of private real estate fund investment advisers.