MFA Legal & Compliance New York 2024
Join our team in NYC at the MFA Legal & Compliance Conference.
Conference
Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
Form PF 2.0: Significant Amendments Implemented by the SEC and CFTC
The SEC and CFTC recently adopted amendments to Form PF that help monitor systemic risk and bolster oversight of private fund advisers.
Compliance Alert
- Compliance
- SEC
SMS Message Rates May Apply: SEC Fines 16 Firms $81 Million for Recordkeeping Failures
The SEC announced that it settled charges with 16 investment advisers and broker-dealers alleging that the firms failed to maintain required electronic records. Learn more and get our tips for how to proactively strengthen your compliance program in our recent alert.
Compliance Alert
- SEC
- eComms Surveillance
- Compliance
Performance Precision: SEC's New FAQ Sharpens Focus on Gross and Net IRR Obligations
On February 6, 2024, the Securities and Exchange Commission’s (SEC) Division of Investment Management released a new Frequently Asked Question (FAQ) clarifying requirements around gross and net performance obligations for Internal Rates of Returns (IRR) often seen in the private markets space. Read our alert to understand the key details.
Compliance Alert
- SEC Marketing Rule
- Performance
- Compliance
- Private Fund
Adviser-led Secondaries, Annual Fund Audits, and Annual Compliance Review Documentation Breakdown
The Adviser-led Secondaries Rule requires advisers to obtain an independent fair or valuation opinion while the Annual Fund Audits Rule requires advisers to obtain audits of their private funds annually and upon liquidation.
Article
- Compliance
2024 FINRA Regulatory Oversight Report
The 2024 Annual Regulatory Oversight Report provides insight into findings from FINRA's Member Supervision, Market Regulation, and Enforcement programs.
Compliance Alert
- Compliance
- FINRA
Private Fund Restricted Activities and Preferential Treatment Rules Breakdown
The Restricted Activities Rule focuses on transparency, disclosures, and consent while the Preferential Treatment Rule bans private fund advisers from providing preferential information to investors.
Article
- Private Fund
- SEC
- Compliance
Events
Wealth Management EDGE
Join the ACA Wealth and ACA Foreside teams in Hollywood, FL at the Wealth Management EDGE Conference.
Conference
2024 FINRA Annual Conference
Meet-up with ACA's team at the FINRA Annual Conference, FINRA’s premier event which provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics.
Conference