PEI Private Fund Compliance Regulatory Forum
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!
As new rules and regulations are adopted and the regulatory landscape evolves your compliance programme must keep pace or risk leaving your firm exposed.
The Investment Advisers Act of 1940 ("Advisers Act") imposes a significant number of regulatory obligations on the roughly 13,000 advisers registered under its purview. One of the broader mandates under the Advisers Act, articulated by Rule 206(4)-7 (the “Compliance Program Rule”), requires advisers to review, no less frequently than annually, the adequacy of the policies and procedures established and the effectiveness of their implementation.
ACA Compliance Group (“ACA”) announced today that, following the receipt of regulatory approvals, it has completed the acquisition of Cordium, a leading provider of governance, risk, and compliance (GRC) products and services. As of today, ACA employs nearly 700 people and provides products and services to over 4,000 clients worldwide. The financial terms of the transaction will not be disclosed.
The UK’s financial regulator recently announced 9 December 2019 as the deadline for the implementation of the Senior Managers & Certification Regime (SM&CR, or SMCR) for solo-regulated firms. With the regulation set to impact 47,000 financial firms, we answer some common questions that firms may have on the upcoming SM&CR.
With a significant increase to the number of reports ingested and the uptick in the number of firms submitting data, the FCA has been able to build a clearer picture of the behaviours of firms’ and their clients. However, the regulator is stressing the importance of reporting data quality, accuracy and completeness, with a particular focus on the following issues.
The U.S. Commodity Futures Trading Commission (CFTC) has taken several actions to flesh out its regulatory approach to cryptocurrency transactions that are classified as commodities. There’s no doubt that US regulators will continue to publish new materials on cryptocurrencies as the year progresses. How should firms that wish to engage in cryptocurrencies prepare?
Most firms find “compliance culture” an important, yet elusive, term that is difficult to define and even more challenging to shape and nurture. However, it’s clear that a compliance culture sets the basis of behavior, integrity and accountability across an organization. But what are the core values that can help firms focus their overall efforts to build a compliance culture more effectively?
We are proud to announce we have secured victory in three prestigious categories at the With Intelligence HFM European Services Awards.
ACA Group announces the addition of two distinguished professionals to its executive leadership team, Jaime Klein as Chief Human Resources Officer and Alex Fischer as General Counsel.
As the curtains close on the 2024 ACA Conference, the echoes of transformative dialogue and insightful revelations resonate, shaping the trajectory of GRC in financial services.
We are proudly sponsoring the Private Fund Compliance Regulatory Forum! Meet-up with our team in Washington, D.C.!