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 Securities and Futures Commission (SFC) of Hong Kong published the conclusion to proposed changes in its Fund Manager Code of Conduct last November, helping to clarify a few remaining areas of contention following its original consultation paper. We have produced a quick summary of the ten key points you need to know from the consultation conclusions on Asset Management regulation.
ACA announces GDPR-specific due diligence questionnaire (DDQ) for vendors and third parties.
Compliance professionals have had a busy year so far, but the tasks and testing will continue to increase.
Over the past several years, the SEC, through examinations and enforcement actions, has made it clear that it expects registered investment advisers to undertake meaningful due diligence of the
On February 12, 2018, the U.S.
For the first time in some years, the Financial Conduct Authority (FCA) has written to asset managers’ CEOs on prudential matters. The letter includes a plea by the FCA for data that it, and the EBA, can rely upon when aggregating firms’ submissions to understand the macro picture.
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.!