SEC

 

April 6, 2015
The SEC has indicated that vendor management is a key concern, and that it will be a priority of the 2015 Cybersecurity sweeps.
March 9, 2015
Speaking at the IA Watch 17th Annual IA Compliance Conference on February 26, 2015, Julie M.
February 8, 2015
On February 3, 2015, the SEC's Office of Compliance Inspections and Examinations ("OCIE") released a Risk Alert summarizing the results of its recent
January 26, 2015
On January 13, 2015, the SEC's Office of Compliance Inspections and Examinations ("OCIE") announced its "Examination Priorities for 2015." Notably, OCIE stated it will continue to focus on private equity fees and expenses "given the high rate of deficiencies that we h
November 4, 2014
Join ACA's Jeff Morton, Ron Weekes, Gina Galang and Rick Geissman as they discuss SEC, CFTC/ NFA, and AIFMD updates.
November 4, 2014
Join ACA's Dan Smith and Jorge Rodriguez on March 4 as they discuss, "Effective Compliance Programs for Investment Advisers."
November 4, 2014
This event will feature a talk by Kenneth Schneider, Assistant Regional Director in the San Francisco office of the U.S.
November 4, 2014
Join ACA's Travis Dragomani on November 4 as he speaks  on "Investment Adviser Compliance & New FINRA Regulations."
November 3, 2014
Highlights from the 2014 GIPS® Standards Annual Conference
November 3, 2014
ACA Broker-Dealer Services ("ACA") would like to share its most recent newsletter with you, along with some additional useful information.