On January 22, 2019, FINRA released the thirteenth edition of its “Risk Monitoring and Examination Priorities Letter.” As broker-dealer compliance personnel review
Insights and guidance from ACA's team of experienced compliance and technology professionals.
Here are our top 10 most-viewed webcasts of 2018.
Increasing focus has been applied to effective data management in recent years due to the growing reliance on data to manage and optimize operations, mitigate risk and support development of new products and services.
Investment advisers need an infrastructure for GIPS® compliance that can survive an SEC examination. While there are many similarities between the rules under the Advisers Act and the requirements of the GIPS standards, there are also notable differences.
Portability refers to the ability of a GIPS-compliant firm to present a track record that was achieved at another firm. When one firm hires a portfolio manager, there is usually a desire to market the portfolio manager’s track record while employed at the prior firm.
Consultant database reporting is an important business consideration for many investment management firms. The databases serve as a gateway for investment managers to reach institutional and retail assets alike. A recent trend in the industry is that of increased due diligence. The top databases are increasingly requiring firms to comply with the GIPS standards or receive an independent third-party certification of the track record.
More firms continue to be implicated as fallout from the F-Squared Investments, Inc. enforcement action continues.
Please join us on Wednesday, June 21 at 11 a.m. for a webcast that will provide updates regarding the SEC’s focus on private equity firms.
ACA Compliance Group continues to offer a series of webcasts designed to provide training to compliance professionals regarding the requirements of the Investment Company Act of 1940.
When it comes to your compliance program are you doing all you should be doing? Do you wonder how you are measuring up?
Please join Alicia Hyde, Partner at ACA Performance Services, and Jonathan Boersma, Head of Professional Standards and Executive Director of the Global Investment Performance Standards (GIPS®) at CFA Institute, for a discussion of current initiatives a