Wealth Management EDGE
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
Conference
Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
Hedge Fund Update: News You May Have Missed
In the second edition of ACA's Hedge Fund Update we cover recent industry news, regulatory updates, enforcement actions, and more.
Article
- Compliance
Making a List and Checking it Twice: Year-End Recap and Checklist for Compliance Officers
As you look ahead to 2021, take a look at a few of 2020’s key regulatory and industry highlights that may impact how you prioritize year-end compliance tasks, allocate resources, and plan future initiatives.
Article
- Compliance
SEC Issues Risk Alert Identifying 6 Areas of Deficiencies in Investment Adviser Compliance Programs
The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert on 11/19/20 providing an overview of notable compliance violations found during examinations relating to the Compliance Rule (Rule 206(4)-7 under the Investment Advisers Act of 1940). Here's what you need to know.
Compliance Alert
- Compliance
- BCP
- Cybersecurity
Hedge Fund Update: News You May Have Missed
In the first edition of our Hedge Fund Update we discuss recent industry news, settlements, and rulings. Read more to find out the latest news you may have missed.
Article
- Compliance
UK Announces Delayed Implementation of its Reformed Prudential Regime
The implementation of the much anticipated and discussed Investment Firms Prudential Regime ("IFPR") has been delayed in the UK until 1 January 2022. We examine what this means for financial services firms.
Compliance Alert
- Compliance
- FCA
2021 Regulatory Filings Calendar
To help you stay on track with your firm’s regulatory reporting obligations, we’ve put together a printable calendar with key deadlines for the SEC, CFTC, NFA, and ESMA regulatory filings in addition to national holidays at a glance.
Article
- Compliance
Events
2024 FINRA Annual Conference
Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.
Conference
Navigating AI Implementation: Compliance Considerations for Private Markets
Join ACA and BlueFlame AI for an in-depth discussion of the intricate world of AI implementation within private funds, highlighting key compliance considerations, regulatory frameworks, and best practices.
Webcast