Chicago Compliance Officer Roundtable: Hot Topics for Investment Advisers
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
Whether you’re looking to fulfill your annual SEC compliance program review as mandated by Rule 206(4)-7 of the Investment Advisers Act of 1940, your FINRA required annual review, need to conduct a gap analysis to determine if your firm is acting within the remit of its FCA Part 4A license permission, or want some assistance with thematic reviews or consistent regulatory consulting throughout the year, we can help.
Conducting periodic testing of your firm’s governance and control arrangements, as well as its policies and procedures, is essential to help avoid the cost and reputational risk of future scrutiny and potential enforcement.
Regulatory gaps, failings or weaknesses can result in fines, reputational damage, and even criminal sanctions.
Gain the peace of mind that comes from working with the most trusted and experienced GRC advisor in the financial services industry. With former SEC, FINRA, FCA, NFA, CFTC, OCC, and state regulators along with former along with former Chief Compliance Officers and senior compliance managers from prominent financial institutions, we offer a deep understanding of the regulatory landscape and the holistic use of technology to maximize efficiencies and provide true value.
Investment advisers often have robust compliance testing programs in place to ensure their staff and control environment remain a well-oiled machine. Most of the time, such testing programs are front of mind and on top of the daily, weekly, or monthly to-do list.
Yet over the past year – as compliance professionals have been forced to work from home during a global pandemic that comes with additional family obligations, enhanced day-to-day surveillance of staff, and adapting to changing expectations - testing has fallen to the bottom of the priority list. Unfortunately, the obligation to forensically test and/or stress test your compliance program remains.
Download our Compliance Testing Action Plan to help you and your firm get started.
Amendments to Rule 605 also require attention from Investment Advisers and Investment Company Directors
This update covers new rules for asset-backed securities transactions, tips for filing Form ADV, FINRA's new rules for home offices and the remote office inspection program, the Corporate Transparency Act, and more.
The FCA’s recent proposal to publicise investigations should prompt investment firms to take a fresh look at compliance culture, platforms and testing.
FINRA recently published a regulatory notice to revise the definition of an OSJ and how OSJs are supervised.
Without question, one of the hottest topics for firms over the past year has been the emergence and rapid adoption of Artificial Intelligence (AI)-based tools and technologies in the workplace. However, AI use is not without risk Read our recent blog outlining details of the regulatory response to AI use in financial services firms and get our 8 steps to better manage AI Risk.
The SEC and CFTC recently adopted amendments to Form PF that help monitor systemic risk and bolster oversight of private fund advisers.
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.
Please join ACA Group, Sidley, and the IAA in Chicago for an engaging conversation about hot topics for investment advisers.
Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily. Join us as we address the top 5 compliance challenges for wealth managers and how to mitigate them.
Join our team in NYC at the MFA Legal & Compliance Conference.