The FINRA release of Regulatory Notice 20-21 on July 1, 2020 includes clarified guidance for calculating and presenting IRR for use in retail communications by FINRA member firms. Join ACA for a complimentary webcast discussing the main areas of impact to broker-dealers and FINRA member placements agents.
ACA and Curcio Webb recently conducted an industry survey focusing on the value of GIPS compliance in the OCIO space. Please join us as we discuss the results of the survey and decipher the implications and challenges for OCIOs.
ACA's Consultant's Corner is the place to go for informal conversations with our consultants about hot topics, industry trends, and insights.
Join ACA as we highlight what you need to do to be ready for the 2020 GIPS standards, including some of the common challenges of implementing the standards and practical solutions to overcome those challenges.
The FCA continues to find serious and voluminous errors in transaction reports submitted under MiFIR article 26. Many firms lack the tools or expertise to identify those errors, and so have a growing problem which could lead to regulatory scrutiny or even enforcement action.
The COVID-19 pandemic has brought to the forefront the need for RegTech to increase efficiency, reduce costs, and provide deeper insights for effective risk-based compliance management.
Join ACA as we discuss compliance considerations arising from the credit market dislocation and the launch of new credit strategies and vehicles.
Join ACA and NSCP for this complimentary webcast as we discuss the results of this survey, how these results compare with the results of previous surveys, and suggest steps for further action.
Join ACA for a half hour discussion about how leveraging a clearinghouse model can improve the due diligence process.
Join ACA as we discuss the current regulatory climate and what firms need to know to protect their business.