As part of ACA, our in-house regulatory and performance experience is leveraged to help your firm understand the broader picture of compliance. We draw from our experience and regulatory insight to help your firm understand industry best practices and the range of compliance issues that your peers face today.

FINRA Leverages the GIPS Standards for Standardizing Private Placement Performance Marketing

FINRA's release of Regulatory Notice 20-21 allows the use of IRR for investments or funds that have been fully realized but further requires utilizing the calculation methodologies of the GIPS standards.

Latest insights

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Market Exposure: The Importance of a Comprehensive Compliance Review

In 2002, the Sarbanes Oxley Act was enacted to augment the regulation of accounting and disclosures for public companies. This was in direct relation to aggressive accounting methods, the technology bubble, and other instances of corporate malfeasance.

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  • Performance
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New GIPS Standards Q&A’s Released

The GIPS Standards Technical Committee recently released three new GIPS Standards Q&A’s that are all effective as of April 18, 2018.

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  • Performance
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A New Trend in Platforms Requiring Third-Party Performance Attestation

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.

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  • Performance
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FAQ: Pitfalls and Best Practices for Presenting Third-Party Performance

More firms continue to be implicated as fallout from the F-Squared Investments, Inc. enforcement action continues.

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  • Performance
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Firm Notification Requirement – 2018 Form Now Available

Firms that claim compliance with the GIPS standards are required to notify CFA Institute of their claim of compliance. Each firm must submit the GIPS Compliance Form annually by June 30.

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  • Performance
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Why Claim GIPS Compliance?

The decision to pursue GIPS compliance and verification is not always a simple choice. There are many moving parts within a firm’s compliance framework, and thus there are a number of important considerations that must be made before a firm can attain compliance with the GIPS standards.

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Performance webcasts

The New Marketing Rule: A Focus on Performance

Join ACA and K&L Gates for a detailed explanation of the specific performance requirements, how they differ from prior no-action letters, and what steps a firm should take now in order to be ready by the deadline.

Webcast

FAQs: Amendments to the Marketing & Advertising Rule

Join ACA for a complimentary webcast in which we'll provide answers to the most frequently asked questions we've received in response to the new marketing rule and its implications.

Webcast